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, who has led the SEC’s Division of Examinations and its predecessor Office of Compliance Inspections and Examinations for more than five years, will leave the agency in mid-August. The Division’s Deputy Director, Daniel Kahl, will serve as Acting Director after Driscoll’s departure. Peter Driscoll, who has led the SEC’s Division of Examinations and its predecessor Office of Compliance Inspections and Examinations for more than five years, will leave the agency in mid-August. The Division’s Deputy Director, Daniel Kahl, will serve as Acting Director after Driscoll’s departure.
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 Bernstein at the 2021 IAA Investment Adviser Compliance Conference.
March 09, 2021
The SEC hopes to issue guidance on Regulation Best Interest and Form CRS later this month, OCIE Director Peter Driscoll told attendees at the IAA’s 2020 Investment Adviser Compliance Conference.
March 09, 2020
OCIE Publishes Examination Priorities for 2020
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.
January 24, 2020
SEC Announces Examination Priorities for 2020
The SEC’s Office of Compliance Inspections and Examinations (OCIE) has officially announced its examination priorities for 2020.
January 07, 2020