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OCIE Exam Priorities

The SEC has handed over its private fund adviser compliance “playbook” but now it’s up to the industry to execute the plays, a pair of ...
SEC examiners will seek documents showing firms’ organizational structure and business lines, as well as any groups and even third-party vendors, responsible for helping them ...
Private fund advisers struggle with conflicts of interest, fees and expenses and putting together the right P&Ps to mitigate the risk of material, non-public information ...
SEC states chief compliance officers, and other compliance staff play critically important roles at firms
This is OCIE's exam priorities for 2019.
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. Securities ...
This release, from January 2017, describes the top exam priorities for the SEC's Office of Compliance Inspections and Examinations for 2017.
This document identifies selected 2016 examination priorities of the Office of Compliance Inspections and Examinations of the Securities and Exchange Commission. In general, the priorities ...
This document identifies selected 2015 examination priorities of the Office of Compliance Inspections and Examinations of the Securities and Exchange Commission. In general, the priorities ...
This is the list of OCIE exam priorities for 2014. This was released Jan. 9, 2014.
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