Compliant Advertising –  Breaking It Down (Again) Part 2: General Prohibitions

Compliant Advertising – Breaking It Down (Again) Part 2: General Prohibitions

02 June 2021

Main Contributor: Katie Mogan, IACCP® Vice President, Senior Compliance Consultant Background This article follows the first in our series, The Definition of an Advertisement, where we summarized the amended Marketing Rule’s definitions of an advertisement; specifically the elements covered under Prong 1 and Prong 2 of the definition. Part Two of our series will focusRead More »

2021 Exam Priorities: Discussion for Registered Investment Advisors

2021 Exam Priorities: Discussion for Registered Investment Advisors

06 April 2021

Main Contributor: Katie Mogan, IACCP® Vice President, Senior Compliance Consultant   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 SavingRead More »

2020 SEC Exam Priorities

2020 SEC Exam Priorities

29 January 2020

Main Contributor: Katie Mogan, IACCP® Vice President, Senior Compliance Consultant   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 toolRead More »

Resources for How to Address the SEC’s 2019 Focus Areas

Resources for How to Address the SEC’s 2019 Focus Areas

21 February 2019

Each year, the SEC publishes their exam priorities.  This provides advisers with transparency in OCIE’s examination program and highlights areas that the SEC believes are of heightened risk. Unlike last year (when OCIE announced a focus on cryptocurrencies) there is nothing brand new this year that we haven’t seen in previous years.  It’s kind ofRead More »

Senior Investors, SEC Exams, and Your Fiduciary Duty

Senior Investors, SEC Exams, and Your Fiduciary Duty

13 December 2018

The focus on retirement accounts and senior investors has been on the SEC’s National Exam Priorities for years.  However, it is especially so this year, and as the US population ages and more baby boomers enter retirement, the focus and concern for senior investors will continue to grow. Do you have a direct relationship withRead 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 »