Founder and President Amy Lynch was quoted on the new SEC Chairman’s recent public comments to the Senate Appropriations subcommittee, as related to the SEC’s budget request. SEC Chairman Jay Clayton stated that the SEC is on track to deliver a 20% increase in the number of investment adviser exams for 2017 and expects increasing…
Founder and President Amy Lynch comments on how the SEC will attempt to do more exams without substantially increasing resources. She expects the SEC to have a more disciplined approach, relying on technology and data to target firms for exams. See InvestmentNews, “SEC budget request could make it harder for agency to increase adviser exams“
Recent Washington, DC Roundtable event sheds light on SEC agenda Last week, FrontLine’s Amy Lynch directed a series of questions to Mark Dowdell, the Assistant Regional Director of the Philadelphia Office of the SEC. Here’s a sampling of what was revealed: The SEC is currently conducting risk analyses of firms and ranking registrants based on…