PHOENIX - The Securities and Exchange Commission's Office of Compliance Inspections is increasingly bringing along representatives of the Division of Enforcement into its examinations of brokers and advisers.

The practice was billed as an example of more "collaboration" between examiners and enforcers, at the Investment Company Institute's Mutual Funds and Investment Management Conference here by Andrew Bowden, associate director of the Investment Advisers and Investment Companies Office of Compliance Inspections and Examinations at the SEC, and counterpart Robert B. Kaplan, co-chief of the Asset Management Unit within the Division of Enforcement at the securities regulator.

Subscribe Now

Access to premium content including in-depth coverage of mutual funds, hedge funds, 401(K)s, 529 plans, and more.

3-Week Free Trial

Insight and analysis into the management, marketing, operations and technology of the asset management industry.