In July, the SEC announced the creation of the Event and Emerging Risks Examination Team (EERT) in the Office of Compliance Inspections and Examinations (OCIE).
OCIE has issued a statement announcing that because of health, safety, and firm operations disruption concerns, OCIE has moved to conducting examinations off-site through correspondence unless it is “absolutely necessary” for its teams to be on-site.
This year’s priorities for investment advisers carry over most of what OCIE prioritized in 2019 and generally reflect the key themes SEC examiners have been focused on in recent years.
Natasha Vij Greiner has been named to a newly-created position in OCIE of Associate Director in OCIE’s investment adviser and investment company examination program.
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