by Ara Jabrayan | Oct 19, 2020 | Examination Priorities
The SEC’s Office of Compliance Inspections and Examinations (OCIE) publishes a yearly list of examination priorities. Although Registered Investment Advisers (RIAs) can expect examiners to focus on these priorities during an examination, OCIE uses a risk-based...
by Ara Jabrayan | Oct 13, 2020 | RIA Compliance
The SEC has published a Risk Alert, which summarized compliance issues discovered during hundreds of examinations of investment advisers that manage private equity funds or hedge funds. Examiners from the SEC’s Office of Compliance Inspections and Examinations (OCIE)...
by Ara Jabrayan | Oct 2, 2020 | Cyberattack, North American Securities Administrators Association (NASAA)
The North American Securities Administrators Association (NASAA) recently released its Investment Adviser Section Annual Report, which is filled with extremely important information for state-registered advisory firms. The report is available at...
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