SEC Exam Priorities for 2016
On Jan 11, the U.S. Securities and Exchange Commission (SEC) released the Office of Compliance Inspections and Examinations’ (OCIE) priorities for 2016. Listen back as MyComplianceOffice and expert professional, Patrick J Burns of Advanced Regulatory Compliance (ARC) share what CCOs can do to prepare for a visit from SEC examiners.
- Preparing for SEC 2016 OCIE Exams Visit (8:47)
- OCIE Exam Priorities: What RIAs Need to Know (11:51)
- OCIE Exam Priorities: How to manage your SEC visit (6:22)
- OCIE Exam Priorities: Preparing for a Deficiencies letter (3:29)
You can access the slides from this webinar here
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