Supplemental Documents/Handouts:
- "Anticipating the Inevitable: Preparing for the SEC in 2020" Presentation Slides
- 2020 Examination Priorities, Office of Compliance Inspections and Examinations
- US Securities and Exchange Commission: Office of the Investor Advocate, "How the SEC Works to Protect Senior Investors," (May 2019)
- National Exam Program Risk Alert: "Investment Adviser and Broker-Dealer Compliance Issues Related to Regulation S-P - Privacy Notices and Safeguard Policies" (April 2019)
- National Exam Program Risk Alert: "Overview of the Most Frequent Advisory Fee and Expense Compliance Issues Identified in Examinations of Investment Advisers," (April 2018)
- National Exam Program Risk Alert: "The Most Frequent Advertising Rule Compliance Issues Identified in OCIE Examinations of Investment Advisers," (September 2017)
- Wolters Kluwer's Practical Compliance & Risk Management for the Securities Industry, "How Risk Alerts Can Help You Prepare for Your Next Examination," (March-April 2019)
- "Regulatory Examinations and Audits," by Michelle Jacko (published in Modern Compliance: Best Practices for Securities & Finance)
- "Best Practices to Use During the SEC Examination," by Michelle Jacko, Esq.
