Securities,
Corporate,
Administrative/Regulatory
Jun. 21, 2019
Hot topics in the 2019 SEC regulatory landscape
The SEC’s Office of Compliance Inspections and Examinations releases an annual Examination Priorities report that identifies current focus areas when performing their examinations of registrants. While the report covers a variety of different topics, below are three items that all registrants should be mindful of, and steps to take in addressing such issues.
Registered investment advisory firms operate within a heavily regulated environment. With new rules and filing requirements being implemented on a continuous basis, it can be daunting and difficult for firms to try and determine where to begin when tackling these issues.
Fortunately, the Securities and Exchange Commission's Office of Compliance Inspections and Examinations releases an annual Examination Priorities report that identi...
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