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Division of Exams’ Priorities

15% of the SEC-registered IA population was examined in FY2020
The DOE sheds some light on issues it considers when identifying exam candidates
Over the past five years, the number of SEC-registered IAs has jumped 16%
"We continue to believe it is important to emphasize that compliance programs, CCOs and other compliance staff play critically important roles at firms .... One ...
“You’ll see it’s all a show,” Monty Python tells us, “Keep ’em laughin’ as you go/ Just remember that the last laugh is on you.” ...
Large-volume investment advisers and broker-dealers should take a fresh look at their compliance manuals and policies and procedures to make sure they’re getting right with ...
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.
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