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At a glance - SEC Examination Priorities
Manage episode 311060204 series 3081927
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Intro Topic I Preventing Fraud, Topic II Indentifying and Montioring Risk Topic III Informing Policy Topic IV Promoting Compliance Topic V Compliance Issues Related to Best Execution Topic VI Advisory Fee and Expense Compliance Issues Identified in Examinations of Investment Advisers Topic VII Obersevations from IA Examination relating to Electronic Messaging Topic VIII Supervisory Review Topic IX Privacy / Reg SP and Third Party Security Topic X Safeguarding Customer Records and Information in Network Storage
SEC 2019 Examination Priorties https://www.sec.gov/files/OCIE%202019%20Priorities.pdf
NASAA 2017 IA Coordinated Examinations Report https://s30730.pcdn.co/wp-content/uploads/2011/10/2017-IA-Coordinated-Examinations.pdf
NASAA 2019 RIA Section Report https://s30730.pcdn.co/wp-content/uploads/2019/06/2019-IA-Section-Report.pdf
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