Solutions for Compliance Professionals

Mar. 2013


In February 2013, the Securities and Exchange Commission’s (“SEC”) Office of Compliance Inspections and Examinations (“OCIE”) issued their exam priorities for 20131 covering issues related to a variety of financial firms, including but not limited to broker-dealers, investment advisers, investment companies, transfer agents, hedge funds and private equity funds, clearing agencies, and self-regulatory organizations (“SROs”). The list was published by OCIE as part of their National Examination Program (“NEP”), which is designed to help: (1) improve compliance, (2) prevent fraud, (3) inform policy, and (4) monitor firm-wide and systemic risk.


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