2021 Exam Priorities: Discussion for Registered Investment Advisors

2021 Exam Priorities: Discussion for Registered Investment Advisors

06 April 2021

We finally have the 2021 Examination Priorities (“Priorities”) from the SEC, albeit later than previous years. You can read the release here. The Priorities for 2021 are strikingly similar to those of previous years, as noted below: Retail Investors, Including Seniors and Individuals Saving for Retirement Information Security and Operational Resiliency Financial Technology (FINTECH) andRead More »

SEC 2018 Exam Priorities – How do they affect you?

SEC 2018 Exam Priorities – How do they affect you?

16 March 2018

If you’re an RIA, this article is for you.  Have you taken a peek at the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) National Exam Program Examination Priorities for 2018?  (Look for a fun acronym for that once we get through all the good stuff.)  Below, we summarize the examination priorities relevant to registeredRead More »