Month: January 2020

January 11, 2020by in Uncategorized

SEC announced it’s examination priorities for 2020!

And we are off to 2020, this past Tuesday the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) announced it’s exam priorities for 2020. They do so to improve transparency and to help firms evaluate and improve their compliance programs. Click here to go directly to the SEC’s website, or read a few of the…

January 4, 2020by in Uncategorized

Strive to make your RIA Compliance “bulletproof” in 2020!

Happy New Year! In this article, I’ll outline the 2019 regulatory hot buttons to help your RIA be “bulletproof” in 2020 (no guarantee you’ll be bulletproof, but we can strive for the highest standard): The SEC and OCIE (Office of Compliance Inspections and Examinations) publish risk alerts reminding investment advisory firms of compliance risks and…