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 ›

Focus Perspective: Examination Goals & More

Examination Goals Fiscal year 2018 is over, and 2019 has begun. We don’t know if the SEC’s examination staff has met the goal of 2,120 examinations of registered investment advisers (“RIAs”) or not, roughly 15% of the number of SEC … Read More ›

Focus Perspective: A Busy Month

Standard of Conduct for Investment Advisers The SEC continued to receive comments, with most of the later comments (after the cut-off date) from organizations that presumably gathered suggestions from their members and/or constituents: Members of Congress, AARP, NASAA, ABA, and … Read More ›

Follow Up: Proposed Standards of Conduct for BDs and IAs

First, an update on the proposed Standards of Conduct for Broker-Dealers and Investment Advisers. Several thousand comments were received by the announced end of the comment period, and the SEC’s website is reflecting comments received after the comment period closed. … Read More ›