The game is changing
The number of investment advisors examined by OCIE has nearly doubled in the past five years. Are you prepared for the additional disclosure requirements that could be coming as part of the Fiduciary Rule Proposal or the Standards of Conduct Proposal? How will you handle other areas of anticipated focus like cryptocurrency, ICOs or cybersecurity? Have you been examined before? If not, the OCIE plans to focus on never-before-examined investment advisors and examination of advisors that have “elevated risk profiles.” Maybe you would you like to see your competition’s fee structures or know who all your competitors are. Now you can answer these questions effectively and efficiently – with Lexis® Securities Mosaic®.
Want to learn more? Read our product sheet to see what makes us different.
Request a free Lexis Securities Mosaic trial today. Simply complete and submit the form.
The number of investment advisors examined by OCIE has nearly doubled in the past five years. Are you prepared for the additional disclosure requirements that could be coming as part of the Fiduciary Rule Proposal or the Standards of Conduct Proposal? How will you handle other areas of anticipated focus like cryptocurrency, ICOs or cybersecurity? Have you been examined before? If not, the OCIE plans to focus on never-before-examined investment advisors and examination of advisors that have “elevated risk profiles.” Maybe you would you like to see your competition’s fee structures or know who all your competitors are. Now you can answer these questions effectively and efficiently – with Lexis® Securities Mosaic®.
Want to learn more? Read our product sheet to see what makes us different.
