Understanding the SEC Exam Priorities for 2015

The SEC Office of Compliance Inspections and Examinations recently released its 2015 Examination Priorities. In addition to its focus on protecting retirement investors, the SEC emphasized its increased data analytics capabilities to identify signals of potentially fraudulent market activity. The SEC also plans to devote more attention to fees and expenses practices in Private Equity, citing this as a topic area with a high deficiency rate. Ascendant’s Sal Papa and Gena Dirani discuss these and other examination priorities to help you prepare for a potential SEC exam. You can download the 2015 Examination Priorities by clicking here.

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