The Office of Compliance Inspections and Examinations (“OCIE”) at the Securities and Exchange Commission (“SEC”) recently published a Risk Alert titled The Five Most Frequent Compliance Topics Identified in OCIE Examinations of Investment Advisors. The five common...
SEC Examination Priorities for 2017
The Securities and Exchange Commission (“SEC”) Office of Compliance Inspections and Examinations (“OCIE”) recently released its annual Examination Priorities. It focuses on practices, products, and services that present potentially heightened risk to investors and/or...
