The SEC’s Office of Compliance and Inspections (“OCIE”) announced its 2018 examination priorities on February 7, 2018.
Please join ACA Compliance Group's Shannon Behara, Partner and Thomas Riley, Principal Consultant, and Nelda Kacyem, Principal Consultant, on February 21, 2017 at 11 a.m. EDT for a live webcast focusing on those priorities as they relate to investment companies and their service providers.
Discussion topics include:
- Mutual funds and exchange traded funds and the risk to retail investors
- Focus on transfer agents
- Oversight of service providers:
- Anti-money laundering controls
- Cybersecurity controls
- Topical focus areas:
- Exemptive order compliance
- Cross trades and other trading restrictions
Throughout the webcast, the panelists will answer questions and respond to comments from attendees.