Investment adviser CCOs are continually preparing for their next SEC examination. Staying on top of the latest trends in exam process and focus can help ensure that their preparations are efficient and effective.
Driscoll to Leave SEC; Kahl to Serve as Exam Division’s Acting Director July 14, 2021 Peter Driscoll at the 2020 IAA Compliance Conference Peter Driscoll, who has led the...
Form CRS, ESG Disclosure are Priorities for SEC Exams, Enforcement March 9, 2021 Form CRS filing and ESG disclosure are among the top examination priorities, noted Peter Driscoll, Director of...
What’s Trending at the SEC April 17, 2020 The SEC speaks, and CCOs listen. Changes in the direction of regulation have an enormous impact on a compliance effort, so investment...
SEC Guidance on Reg BI, Form CRS Expected This Month, More to Follow Conflicts of Interest Disclosure Around Fees a Top Enforcement Priority March 9, 2020 The SEC hopes...
OCIE Publishes Examination Priorities for 2020 Updated January 24, 2020 The SEC’s Office of Compliance Inspections and Examinations (OCIE) recently issued its examination priorities for 2020. This year’s priorities...
SEC Announces Examination Priorities for 2020 January 7, 2020 The SEC’s Office of Compliance Inspections and Examinations (OCIE) has officially announced its examination priorities for 2020. The examination priorities...
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