SEC 2017 Exam Priorities: What’s Between the Lines and Behind the Scenes

Priorities are based on new data-driven and risk-based OCIE objectives. Join ComplianceCast to learn about Ascendant’s observations and takeaways for this year’s 2017 exams.

Covering:

  • Ascendant’s own exam observations
  • OCIE’s priorities for 2017 exams and thematic topics
  • Identifying industry practices
  • Examining Advisers with elevated risk profiles
  • Expanding the Never Before Examined Adviser initiative
  • Reviewing supervision and oversight related to IARs with certain
  • Disciplinary events
  • Reviewing Advisers with multi-branches
  • Reviewing Advisers to Pension Plans
  • Continuing to examine private fund advisers
  • Considering Role of tips, complaints and referrals
  • Practical Guidance for Addressing Highlighted Problems
  • And more!

Fill in & submit the form below to download this ComplianceCast™

Thank you!

Your download will appear below momentarily.

Download Now.


Subscribe to CSS Blog

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.

Latest Content

Breakdown of OCIE’s COVID-19 Compliance Risks Alert

The SEC’s “Office of Compliance Inspections and Examinations (“OCIE”) issued an Alert today regarding “Select COVID-19 Compliance Risks for Investment Advisers and Broker-Dealers.” OCIE shared observations regarding six broad categories: protection of investors’ assets; supervision of personnel; practices relating to fees, expenses, and financial transactions; investment fraud; business continuity; and the protection of investor and … Continued

Are Investment Managers Going to Have More KIDs?

Let us be clear…. we’re actually talking about the potential increase in production of point-of-investment disclosure documents for investment managers. The complications and stress of Brexit just got a whole lot more real for many UK- and EU-based investment management companies that are subject to rules requiring production of UCITS KIID (Key-Investor-Information-Document) and PRIIPs KID … Continued

Do You Feel Confident Your Password Hasn’t Been Hacked?

As a cybersecurity consultant, I am often asked if some of the threats we industry practitioners talk about are overstated. Hyped up fear as a sales tactic. The simple answer is no. The fear is not overstated, and the risks all too real – which helps to explain why cyber remains a top priority for … Continued