Are you ready for the SEC in 2014? The agency released information about its focus areas for 2014. In addition to continuing its Presence Exam initiative focusing on private fund advisers, the SEC also plans to devote more attention to “never-before examined advisers” – those non-private fund advisers who have been registered for more than three years without being examined. Ascendant’s Korrine Kohm discusses these and other examination priorities of the SEC for 2014. Find out what to expect in order to be prepared. You can download the Exam Priorities by clicking the following links:
SEC National Exam Program Examination Priorities 2014: http://www.sec.gov/about/offices/ocie/national-examination-program-priorities-2014.pdf
FINRA 2014 Regulatory and Examination Priorities Letter: http://www.finra.org/web/groups/industry/@ip/@reg/@guide/documents/industry/p419710.pdf
Listen to the podcast below:
You can also download this podcast by right clicking here and selecting save as.
- Insurance Considerations for Investment Advisers
- Custody – Get It Right: Just in Time for Your Annual Updating Amendment!
- SEC and FINRA 2018 Examination Priorities
Recent ComplianceCast™ Minutes