...compliance solutions made simple.

561-600-0565

SEC Announces 2018 Compliance Priorities

by | Aug 21, 2019 | Conflicts of Interest, Office of Compliance Inspections and Examinations (OCIE), Press Releases, RIA Compliance, Robo-Advisers, SEC Cybersecurity, SEC Investment Adviser Compliance, SEC Rules

Each year, the SEC’s Office of Compliance Inspections and Examinations (OCIE) publishes its priorities, and 2018 is no exception. On February 7, 2018, the SEC’s Office of Compliance Inspections and Examinations (OCIE) published its 2018 examination...