InhouseGo2

S&W's InhouseGo2 Blog

Asset Managers: Are You Ready for Your Exam? Steps You Should Take Now

Posted by Joel S. Telpner on Mar 17, 2017 10:49:35 AM

Last week we told you about the five biggest pet peeves of the SEC’s Office of Compliance Inspections and Examinations (OCIE) when examining investment advisers (see "The Top Five ‘Gotcha’ Deficiencies Plaguing Asset Managers and How to Avoid Them"). This week, we want to get you ready for your exam.  Here are the OCIE’s examination priorities for 2017 for registered investment advisers and affiliated broker-dealers.1 This year, when conducting examinations of registered investment advisers, the OCIE’s focus will revolve around three themes:

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Topics: OCIE, investment management, retail investors, elderly and retiring investors

The Top Five "Gotcha" Deficiencies Plaguing Asset Managers and How to Avoid Them

Posted by Joel S. Telpner on Mar 3, 2017 2:29:24 PM

Let’s start with this caveat: as we all know, under the still-new Trump Administration, priorities may and are likely to change. Now that we got that off our chest, it is nevertheless not the time to sit back and wait. The SEC’s Office of Compliance Inspections and Examinations (OCIE) has just given us a list of potholes that investment advisers keep falling into. 

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Topics: Deficiencies, Compliance Rules, Regulatory Filings, Code of Ethics, OCIE, Custody Rule, Books and Records

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