SEC Risk Alert Gives Guidance on How RIAs Can Comply with Regulation S-ID

On December 5, 2022, the Division of Examinations (Division) published a Risk Alert that reported observations from recent examinations of SEC-registered investment advisers (RIAs) and broker-dealers related to their compliance with Regulation S-ID. The goal of the...

SEC 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...