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NASAA 2019 Investment Adviser Coordinated Exam Report

by | Sep 19, 2019 | Examination Priorities, Investment Adviser Representative, North American Securities Administrators Association (NASAA), Registered Investment Advisers (RIAs), RIA Compliance, SEC Cybersecurity, SEC Investment Adviser Compliance, State Investment Adviser Compliance

Sample data from state securities examiners is collected every two years and is reported voluntarily to The North American Securities Administrators Association’s (NASAA) Investment Adviser Operations Project Group. At its recent annual meeting, NASAA has recently...

SEC Announces Its 2019 Examination Priorities

by | Aug 22, 2019 | Examination Priorities, Investment Adviser Representative, Investment Advisers Act, Office of Compliance Inspections and Examinations (OCIE), Press Releases, RIA Compliance, RIA Compliance Policies, SEC Cybersecurity, SEC Investment Adviser Compliance, SEC Rules, State Investment Adviser Compliance

The SEC’s Office of Compliance Inspections and Examinations (OCIE) publishes annually its examination priorities to promote transparency and provide insights into the areas it believes pose a heightened risk to investors or to the integrity of the U.S. capital...