2014 Solutions for Compliance Professionals

March 2014

 

In January 2014, the Securities and Exchange Commission's ("SEC's") Office of Compliance Inspections and Examinations ("OCIE") issued their yearly evaluation of the most crucial Examination Priorities for review and implementation in the coming year.1 These priorities address a wide variety of issues that broadly impact the diverse business structures of financial firms existing throughout the US marketplace, including, but not limited to, investment advisers, investment companies, broker-dealers, hedge funds, private equity funds, transfer agents, clearing agencies and self-regulatory organizations ("SROs").

 

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