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Be aware that examiners may question your logic for placing clients in certain share classes
The new examiners’ focus: Cybersecurity and standards of conduct for investment advisers and broker-dealers
OCIE examiners “expected us to have records of all of these reviews” for first party SLOAs
OCIE hopes "these observations" will spur you "to reflect on their own cybersecurity practices”
"Cyber threat actors are becoming more aggressive and sophisticated"
“Take your time in producing your data” to examiners, recommends a CCO
The new report provides “hallmarks” of effective compliance programs detected by the agency over the years
Karen Huey of Professional Compliance Assistance in Woodstock, Ga., gives us permission to share with you her 18-point guide to an on-site exam by OCIE.
“OCIE exceeded its goal and conducted over 3,075 examinations"
Get the jump on your next exam