Last week I wrote about FINRA’s 2014 exam priorities.  This week, the SEC announced its 2014 examination priorities covering a number of topics important to investment advisers, investment companies, broker-dealers, clearing agencies, exchanges and other self-regulatory organizations, hedge funds, private equity funds, and transfer agents.  While the SEC makes clear the list is not exhaustive, areas that firms will see heightened scrutiny include fraud … Read more

As it does every year since 2006, the FINRA has just released its 2014 Regulatory and Examination Priorities letter  highlighting significant risks and regulatory issues for member firms and how FINRA plans to address such matters in its examination of broker-dealers.  The hope is that broker-dealers will use the letter to identify risk exposures to enhance their supervisory, compliance and risk management programs to protect investors, the … Read more

Advisers are reminded the SEC’s annual compliance outreach program National Seminar will be held on January 30, 2014, at its headquarters in Washington, D.C.   Investment adviser and investment company senior officers, including chief compliance officers (CCOs) are invited to register and attend. This year’s agenda will likely include panel discussions with SEC staff from the Office of Compliance … Read more