On January 7, 2020, the Securities and Exchange Commission (“SEC”) issued its 2020 Examination Priorities, a yearly publication highlighting new and existing areas of focus for the Office of Compliance Inspections and...more
1/16/2020
/ Anti-Money Laundering ,
Broker-Dealer ,
Cybersecurity ,
Financial Industry Regulatory Authority (FINRA) ,
FinTech ,
Form CRS ,
Investment Adviser ,
OCIE ,
Regulation Best Interest ,
Retail Investors ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC) ,
Standard of Care
In recent years, the Securities and Exchange Commission’s (“SEC”) Office of Compliance Inspections and Examinations (“OCIE”) has been paying close attention to the fees and expenses charged by private funds and their...more