As part of the SEC’s new National Exam Program Overview, OCIE highlights six areas of focus for Investment Advisers: “[T]he Program has identified specific strategic areas on which to focus when examining firms…. In FY2012, focus areas include the following priorities, among others: Complex Entities. Staff will examine for the risks and practices associated with … Read more »
Tag: NEP
SEC’s National Exam Program Overview
The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) mission is to protect investors through its nationwide examination and inspection program. Examiners in Washington DC and in the SEC’s 11 regional offices conduct examinations of the nation’s registered entities. Besides investment advisers, OCIE also examines broker-dealers, transfer agents, investment companies, the national securities exchanges, clearing … Read more »