Compliance Solutions for Investment Advisers

Monthly Archives: February 2014

SEC Exam Initiative

Dear Compliance Professional, The SEC today announced that its Office of Compliance Inspections and Examinations (OCIE) is launching an initiative directed at investment advisers that have never been examined, focusing on those that have been registered with the SEC for three or more years.  OCIE previously announced that examining these advisers is a priority in 2014. As

SEC Exams – Update #2

During this recent spate of exams, the SEC is really drilling down on custody.

SEC Exam Priorities – Update

Dear Compliance Professional, As part of its 2014 Exam priorities, the SEC announced that the “staff will utilize a number of strategies to conduct focused, risk-based examinations of the adviser population that has been registered for more than three years but has not yet been examined . . .” The SEC also announced that the