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 https://www.sec.gov/files/OCIE%202019%20Priorities.pdf. These priorities...

Read More

IAA Newsletter – Tips for Filing Form ADV: Annual Updating Amendments

form adv

It’s that time of year again when most Registered Investment Advisers are preparing their Annual Updating Amendments to Form ADV.  Please click below to read the article that was featured in the February 2019 issue of the IAA Newsletter. IAA_February19_2019_ComplianceCorner – Tips for Filing Form ADV: Annual Updating Amendments   Author: Megan...

Read More

Tone-Deaf at the Top

tone deaf

I recently spoke at the IA Watch/Regulatory Compliance Watch compliance conference in Philadelphia sponsored by Simplify Compliance, where the discussion turned to firms’ tone at the top. “Tone at the Top” is a term that describes a firm’s management and whether they are committed to ethical behavior, honesty, and integrity....

Read More