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OCIE Examination Priorities (14)
Your search for OCIE Examination Priorities returned 14 results.
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1/02/2019 | Content area: Investment Adviser
Predictions that OCIE would put out its 2019 exam priorities before 2018 ended proved true (IA Watch, Nov. 13, 2018), as did prognostications that the...
12/20/2018 | Content area: Investment Adviser
This is OCIE's exam priorities for 2019.
2/07/2018 | Content area: Investment Adviser
It is our privilege to share with you the 2018 examination priorities of the Office of Compliance Inspections and Examinations (OCIE) of the U.S. Secu...
2/07/2018 | Content area: Investment Adviser
The newest list of OCIE exam priorities resembles past ones in that many of the topics match what the agency put out last year. But the 2018 list diff...
1/12/2017 | Content area: Investment Adviser
This release, from January 2017, describes the top exam priorities for the SEC's Office of Compliance Inspections and Examinations for 2017.
1/12/2017 | Content area: Investment Adviser
New items you’ll find in OCIE’s list of 2017 exam priorities include robo advisers, an expanded never-been-examined effort, money market fund advisers...
1/14/2016 | Content area: Investment Adviser | Broker-Dealer
Exchange-traded funds, a continuation of the ReTIRE initiative, the suitability of variable annuities and private placements under Reg D are among the...
1/11/2016 | Content area: Investment Adviser | Broker-Dealer
This document identifies selected 2016 examination priorities of the Office of Compliance Inspections and Examinations of the Securities and Exchange ...
1/15/2015 | Content area: Investment Adviser | Private Fund
Fees and expenses for private equity fund advisers. Visits to never-been-examined investment companies. Cybersecurity. These are among the new items c...
1/13/2015 | Content area: Investment Adviser | Private Fund
This document identifies selected 2015 examination priorities of the Office of Compliance Inspections and Examinations of the Securities and Exchange ...
1/13/2014 | Content area: Investment Adviser
OCIE has released its 2014 list of exam priorities, with five new areas examiners will be asking investment advisers about this year. These include wh...
1/09/2014 | Content area: Investment Adviser
This is the list of OCIE exam priorities for 2014. This was released Jan. 9, 2014.
3/04/2013 | Content area: Investment Adviser
Your planning for an SEC exam just got simpler. Until now, OCIE's never released its list of exam priorities - until last month.IAs and other register...
2/25/2013 | Content area: Investment Adviser
This is a list of OCIE's 2013 exam priorities. This marked the first time the SEC has ever published such exam priorities. This is designed to give fi...


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