2017 SEC Examination Priorities: Best Practices to Ace the Exam
Wondering what the SEC will be focusing on in 2017? Join MCO and former SEC examiners Victoria Hogan and Colleen Montemarano now of NorthPoint Compliance, as they review the SEC’s National Exam Program Examination Priorities for 2017.
- Electronic investment advice & Robo-Advisers (12:31)
- Wrap fee programs (3:24)
- Never before examined firms (5:16)
- Recidivist representatives and their employees (6:13)
- Multi-branch advisers (5:56)
- Share class selection (5:07)
- ReTIRE initiative, Public pension advisers, Senior investors (14:51)
- Cybersecurity & Private fund advisers (5:23)
- Q&A (8:51)
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