Compliance Solutions for Investment Advisers

Monthly Archives: February 2017

3 Most Typical Books & Records Rule Deficiencies

Below are three typical examples of deficiencies or weaknesses with respect to the Books and Records Rule identified by the SEC staff:

The 4 Most Typical Code of Ethics Violations

As stated in the recent SEC Risk Alert, four typical code of ethics violations identified during examinations of investment advisers include:

Top 3 Custody Deficiencies

As stated in the recent SEC Risk Alert, the 3 most frequent custody issues identified in examinations of investment advisers are as follows:

Top 4 Regulatory Filing Deficiencies

As stated in the recent SEC Risk Alert, the 4 most frequent regulatory filing issues identified in examinations of investment advisers are as follows:

Top 4 Compliance Program Deficiencies

As stated in the recent SEC Risk Alert, the 4 most frequent compliance issues identified in examinations of investment advisers are as follows:

5 Most Frequent Compliance Topics Identified in Investment Adviser Exams

The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) identified the following five areas of compliance deficiencies or weaknesses frequently found during its staff’s examinations of SEC-registered investment advisers:

SEC 2017 Examination Priorities

The SEC’s Office of Compliance Inspections and Examinations has published its examination priorities for 2017. The priorities focus on electronic investment advice, money market funds, and financial exploitation of senior investors. In addition, the priorities “reflect a continuing focus on protecting retail investors, including individuals investing for their retirement, and assessing market-wide risks.” Click here for a

line