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 »

2020 SEC Exam Priorities

2020 SEC Exam Priorities

29 January 2020

I can’t think of a better way to start off the year than by reading the SEC’s Exam Priorities for 2020.  Okay, I’m being a bit facetious.  But in all honesty, I do look forward to this publication. It is a great compliance tool because it puts a spotlight on SEC focus areas and allowsRead More »