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Criminal Law

: SECLaw.com

RIA Regulation Expected to Increase RIA Costs by 20%

By Mark H. Astarita, Esq.

It is not clear how this was calculated, but an increase in compliance costs because of new regulation is nearly a given. RIAs need to start looking for new regulatory and compliance personnel...and some attorneys as well. Remember that the SEC's aborted attempt to regulate hedge fund managers significantly boosted the compensation of experience compliance officers. Expect more of the same in the coming months.http://before-you-invest.com/sec-finra-might-coordinate-efforts-study-forecasts/

Full post as published by SECLaw.com on May 19, 2009 (boomark / email).

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