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SEC’s Office of Compliance Inspections and Examinations Releases Annual Examination Priorities

By Richard M. Cutshall on January 13, 2017

Posted in Financial Regulation, Investment Regulation, OCIE, SEC

On Jan. 12, 2017, the Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission (SEC) issued its annual Examinations Priorities for 2017 (Exam Priorities), which…
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New ADV Rule

By Richard M. Cutshall on August 25, 2016

Posted in Investment Regulation, Risk Management, SEC

Today, the SEC announced the adoption of amendments to several rules under the Investment Advisers Act of 1940 and to Form ADV, the investment adviser registration and reporting form. …
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