Last week we told you about the five biggest pet peeves of the SEC’s Office of Compliance Inspections and Examinations (OCIE) when examining investment advisers. This week, we want to get you ready for your exam. Here are the...more
3/17/2017
/ Anti-Money Laundering ,
Asset Management ,
Broker-Dealer ,
Cybersecurity ,
Elder Issues ,
ETFs ,
Investment Adviser ,
Money Market Funds ,
OCIE ,
Public Pension ,
Retail Investors ,
Retirement Plan ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC)
Let’s start with this caveat: as we all know, under the still-new Trump Administration, priorities may and are likely to change. Now that we got that off our chest, it is nevertheless not the time to sit back and wait. The...more