Overview Of Regulatory Priorities – 2017

In early 2017, the SEC’s Office of Compliance Inspections and Examinations (OCIE) and FINRA released their annual examination priority letters, highlighting areas of examination focus for the year. Given that there are many common concerns, this article summarizes both letters, highlighting topics common to both investment advisers and broker-dealers, followed by topics specific to investment advisers and, finally, those specific to broker-dealers.

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CSS frequently publishes blog posts which are written by our team from their observations in the field, at conferences and through experiences with compliance professionals. These posts are designed to further knowledge and share industry best practices. Topics run the gamut, including Form ADV, cybersecurity, MiFID II, position limit monitoring, technology challenges and more. Complete and submit the brief form below to receive notifications when we publish new content.

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