SEC 2017 Exam Priorities: What’s Between the Lines and Behind the Scenes

Priorities are based on new data-driven and risk-based OCIE objectives. Join ComplianceCast to learn about Ascendant’s observations and takeaways for this year’s 2017 exams.

Covering:

  • Ascendant’s own exam observations
  • OCIE’s priorities for 2017 exams and thematic topics
  • Identifying industry practices
  • Examining Advisers with elevated risk profiles
  • Expanding the Never Before Examined Adviser initiative
  • Reviewing supervision and oversight related to IARs with certain
  • Disciplinary events
  • Reviewing Advisers with multi-branches
  • Reviewing Advisers to Pension Plans
  • Continuing to examine private fund advisers
  • Considering Role of tips, complaints and referrals
  • Practical Guidance for Addressing Highlighted Problems
  • And more!

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