Focus Perspective: What Does 2019 Bring

Kudos to the SEC.  Since 2013 when OCIE first identified its examination priorities for the upcoming year, they have been able to identify those priorities in the second fiscal quarter, but for 2019, OCIE identified those priorities on December 20, … Read More ›

RIA Compliance Calendar – Filing Deadlines 2019

SEC Regulatory Deadlines for Investment Advisers The information provided in this calendar is intended to help compliance officers update their regulatory calendars for 2019.  It does not address all potential regulatory reporting and compliance obligations. Additionally, please note, this calendar … Read More ›

Focus Perspective: Breaking Down OCIE’s 2019 Exam Priorities

On December 20, 2018, the SEC’s Office of Compliance Inspections and Examinations (OCIE), released its examination priorities for 2019. As we know, “OCIE is responsible for conducting examinations of entities registered with the SEC, including more than 13,200 investment advisers, … Read More ›