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.
Listen to the podcast below:
You can also download this podcast by right clicking here and selecting save as.
- Compliance Considerations for Dual Registrants
- Promoting and Inspiring Ethics and Integrity in a Bottom-Line Workplace
- The Compliance Professionals Guide to Effective Trade Desk Monitoring
Recent ComplianceCast™ Minutes