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SEC Examinations
Much attention has focused of late on the hack of the SEC, the same entity that OCIE examiners would ask you to upload your documents ...
They may not be great in number but the SEC’s Boston Regional Office has returned to doing something that had been curtailed to only cases ...
Recorded: 07-18-2017
The SEC has made “recent and rapid advancements” with its analytic programs that are harnessing the power of big data and these developments are having ...
OCIE’s been making the rounds lately, not on exams, but on tour. Last week, the agency completed its fourth and final outreach meeting of 2017 ...
The SEC submitted a 2018 fiscal year budget request of $1.602 billion on May 23—a budget level that is essentially flat when compared with its ...
Washington may be undergoing dramatic changes but there’s one constant: OCIE’s increasing exams of investment advisers. “OCIE is business as usual. We’re still doing ...
Click here to open a Word file contributed by SEC3 Compliance Consultants in Phoenixville, Pa. This is a list of 30 SEC exam preparation tips ...
Recorded: 01-24-2017
New items you’ll find in OCIE’s list of 2017 exam priorities include robo advisers, an expanded never-been-examined effort, money market fund advisers, “financial exploitation” of ...