Office of Compliance Inspections and Examinations

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2020 SEC Exam Priorities for Securities Industry Registrants

By Richard M. Cutshall & Vincent Lewis on January 21, 2020

Posted in Brokers, Client Alert, Compliance, FINRA, Fintech, GT Alert, investment advisor, OCIE, SEC, Securities and Exchange Commission

The Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission (SEC) released its annual list of 2020 Examination Priorities on Jan. 7, 2020. Many of…
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SEC Publishes OCIE 2020 Examination Priorities

By Richard M. Cutshall on January 9, 2020

Posted in investment advisor, Investment Regulation, OCIE, Regulatory Compliance, SEC

On Jan. 7, the SEC announced the publication of the annual Office of Compliance Inspections and Examinations (OCIE) 2020 Examination Priorities. In addition to the examination priorities themselves, the 28-page …
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SEC Share Class Sweep of Registered Investment Advisers Appears to be Underway

By Scott L. MacLeod on July 25, 2016

Posted in Financial Regulation, Investment Regulation, OCIE, Regulatory Compliance, SEC, Securities

On July 13, 2016, the SEC’s Office of Compliance Inspections and Examinations (OCIE) announced its 2016 Share Class Initiative (the Initiative). The Initiative is focused on addressing the perceived risk…
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