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 the form below to download this ComplianceCast

Loading form...

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.

Loading form...

Latest Content