SEC’s 2019 Priorities Should Become Your Firm’s Priorities

SEC Priorities

Every year, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) publishes its examination priorities to address risks that are a potential threat to investors or the integrity of the U.S. capital markets. On December 20, 2018, OCIE released its 2019 examination priorities, which are available at These priorities...

Read More

Electronic Messaging – New Types, New Guidance – Are You Prepared?


On December 14, 2018, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) published a Risk Alert titled “Observations from Investment Adviser Examinations Relating to Electronic Messaging”. Based on a series of limited-scope examinations, OCIE reviewed electronic messaging for business-related communications by RIAs to ensure that the relevant regulations were...

Read More

Regulatory Exams – Setting the Tone and Putting Your Best Foot Forward

best foot forward

The SEC’s 2018 National Exam Priorities[i] clearly lays out five principals guiding the Office of Compliance Inspections and Examinations (OCIE).  Three of those five are centered heavily around technology and the data driven approach to examination efforts.   The Commission’s advances in technology and leveraging of big data collection to target...

Read More