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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

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