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.
- 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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