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
The SEC speaks, and CCOs listen. Changes in the direction of regulation have an enormous impact on a compliance effort, so investment adviser CCOs need to keep abreast of...
April 17, 2020
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...
March 09, 2020
OCIE Publishes Examination Priorities for 2020
The SEC’s Office of Compliance Inspections and Examinations (OCIE) recently issued its examination priorities for 2020. This year’s priorities for investment advisers carry over most of what OCIE prioritized...
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. The examination priorities for investment advisers are outlined below: Retail Investors, Including...
January 07, 2020