Compliance Solutions for Investment Advisers

SEC Advisers to Pay User Fees?

The recommendation of the Investor as Purchaser Subcommittee:

“The SEC should request legislation from Congress that would authorize its Office of Compliance, Inspections, and Examinations (OCIE) to impose “user fees” on SEC-registered investment advisers, the revenue from which could be retained by the Commission to fund an enhanced investment adviser examination program including more frequent on-site examinations of SEC-registered advisers.”

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