With the long awaited release of the SEC’s 2018 exam priorities, registered investment advisers now have a clearer picture of the regulatory areas at the top of the SEC’s current agenda. Founder and President Amy Lynch advises firms to be diligent in reviewing disclosures to ensure they are consistent and accurate. While historically included as a target exam area by the SEC, Ms. Lynch explains that fees and disclosures have special emphasis in this year’s SEC exam priorities document. See InvestmentNews, “SEC exam priorities target fee disclosures to retail investors“
