Investment adviser CCOs are continually preparing for their next SEC examination. Staying on top of the latest trends in exam process and focus can help ensure that their preparations are efficient and effective.
April 06, 2023
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Driscoll to Leave SEC; Kahl to Serve as Exam Division’s Acting Director
Peter Driscoll at the 2020 IAA Compliance Conference Peter Driscoll, who has led the SEC’s Division of Examinations and its predecessor Office of Compliance Inspections and Examinations for more...
July 14, 2021
Form CRS, ESG Disclosure are Priorities for SEC Exams, Enforcement
Form CRS filing and ESG disclosure are among the top examination priorities, noted Peter Driscoll, Director of the SEC’s Division of Examinations, in a conversation with IAA General Counsel Gail...
March 09, 2021
What’s Trending at the SEC April 17, 2020 The SEC speaks, and CCOs listen. Changes in the direction of regulation have an enormous impact on a compliance effort, so investment...
April 17, 2020
SEC Guidance on Reg BI, Form CRS Expected This Month, More to Follow Conflicts of Interest Disclosure Around Fees a Top Enforcement Priority March 9, 2020 The SEC hopes...
March 09, 2020
OCIE Publishes Examination Priorities for 2020
OCIE Publishes Examination Priorities for 2020 Updated January 24, 2020 The SEC’s Office of Compliance Inspections and Examinations (OCIE) recently issued its examination priorities for 2020. This year’s priorities...
January 24, 2020
SEC Announces Examination Priorities for 2020
SEC Announces Examination Priorities for 2020 January 7, 2020 The SEC’s Office of Compliance Inspections and Examinations (OCIE) has officially announced its examination priorities for 2020. The examination priorities...
January 07, 2020