Tag: compliance program readiness

Key Takeaways from 2020 OCIE Exam Priorities

On January 7, the SEC’s Office of Compliance Inspections and Examinations (OCIE) issued its exam priorities for 2020 and reiterated its focus on protecting retail investors, particularly seniors and those saving for retirement. Here are some key takeaways from the exam priorities: Retail Investors OCIE will continue to focus on recommendations and advice provided to … Continued

10 Compliance Tips for Starting 2020 Off on the Right Foot

No rest for the weary. With the new year upon us, our attention turns to new budgets, change and planning. With renewed energy as we roll into January thaw, we worry if our compliance program is ready. To give you a leg up, here are 10 tips for investment adviser and broker-dealer compliance teams for … Continued

Deputy Attorney General Rod Rosenstein Discusses Compliance Program Effectiveness

The embattled U.S. Deputy Attorney General Rod Rosenstein recently spoke to compliance pros at the 2018 Annual Conference for Compliance and Risk Professionals. Bulleted below are some of the statements from his keynote speech, which evidence the view from near the top of the Department of Justice: As to what it means to have a culture … Continued


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