Compliance Readiness 2014 – Part 1 – the first five things we suggest you do!

Given all the recent news concerning the SEC’s current examination initiatives, it makes sense to be prepared.  As John Wooden so famously put it, “Failing to Prepare is Preparing to Fail,” and as my colleague always says, “If you are registered with the SEC, you will be examined.”

Throughout this year, and as part of our FOCUS matters publication, we will continue to build upon our compliance readiness suggestions.  As always, please contact us with any specific questions.

Here’s where we suggest you begin:

1)     Read a few speeches from Mary Jo White, the current SEC chairman, to get a sense of the current regulatory landscape:


2)     Be aware of what the SEC’s current initiatives are:

3)     Understand what the SEC’s examination priorities are for 2014:

4)     Review a few recent SEC request lists, both from a routine examination and a presence examination standpoint.  This will give you a sense of what to expect.

5)     We’ve recorded a video series in conjunction with Advent Software to assist firms in preparing for an SEC examination.


One Response to “Compliance Readiness 2014 – Part 1 – the first five things we suggest you do!”

  1. Compliance Readiness 2014 – Part 2 – The SEC Request List in an Excel Matrix format! | Focus 1 Associates

    We’re making available to you an SEC request list in an Excel Matrix format. Should you find it useful, here’s how we suggest you utilize it…

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