SEC Publishes Its 2017 Compliance Priorities

Each year, the SEC’s Office of Compliance Inspections and Examinations (OCIE) publishes its priorities, and 2017 is no exception. On January 12, 2017, OCIE announced its examination priorities. Registered Investment Advisers (RIAs) and other financial entities will...

SEC Announces Its 2016 Compliance Examination Priorities

In what has become a January tradition, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) announced its compliance priorities for the coming year. Registered Investment Advisers and broker-dealers should take note of these priorities as they...