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Be in the Know: SEC Examination Priorities and Compliance Expectations for 2021

The knowledge hub for the Schwab Advisor Solutions Session "Be in the Know: SEC Examination Priorities and Compliance Expectations for 2021."

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Supplemental Documents/Handouts:

  • "Be in the Know: SEC Examination Priorities and Compliance Expectations for 2021" Presentation Slides

Articles

  • IAA Newsletter - "Social Media in 2021 – Are Advisers Subject to the Old Rules or New Rules And What Then" (February 2021)
  • NSCP Currents - "Why Advisory Fees and Expenses Remain a Continued Regulatory Focus" (January 2021)
  • JLG Risk Management Tip - "How Risk Alerts Can Help You Prepare for Your Next Examination" (February 2019)

Risk Alerts

  • OCIE Risk Alert - "Select COVID-19 Compliance Risks and Considerations for Broker-Dealers and Investment Advisers" (August 2020)
  • OCIE Risk Alert - "Cybersecurity - Safeguarding Client Accounts Against Credential Compromise" (September 2020)
  • OCIE Risk Alert - "Observations from OCIEs Examinations of Investment Advisers - Supervision, Compliance and Multiple Branch Offices" (November 2020)
  • OCIE Risk Alert - "OCIE Observations - Investment Adviser Compliance Programs" (November 2020)

 


 

 

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