In the News

Title

SEC Compliance Chief Is Getting More Muscle This Year

Document Type

Article

Publication Date

3-29-2016

Abstract

Financial advisors who sleep well at night figuring Uncle Sam won’t come knocking on the door looking for a good look at their books, may want to think again.

That after Marc Wyatt, director of the SEC’s Office of Compliance Inspections and Examinations, and chief examiner at the agency, said in a speech to an investment advisory group.