SEC Examination Priorities and Focus Areas for 2019

Date: 
January 30, 2019 - 11:00 am to 12:30 pm
Type: 
Webcast
Division: 
Investment Adviser
Speaker(s): 
ACA Compliance Group’s L. Allison Charley, Senior Principal Consultant; Matthew Shepherd, Principal Consultant; and ACA Aponix's Askari Foy, Managing Director

The U.S. Securities Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) announced its 2019 examination priorities on December 20, 2018.

Please join us for a webcast on January 30, 2019 at 11:00 a.m. EST. ACA Compliance Group’s Allison Charley, Senior Principal Consultant; Matthew Shepherd, Principal Consultant; and ACA Aponix's Askari Foy, Managing Director, will discuss the 2019 examination priorities and what they may mean for you. 

Discussion Topics

Our speakers will discuss 2019 exam priorities affecting registered investment advisers, including:

  • Services and products offered to seniors and those saving for retirement;
  • Fees and expenses, conflicts of interest, portfolio management and trading - with emphasis on retail investors;   
  • Never-before or not recently-examined investment advisers - with emphasis on retail investors;
  • Advisers to mutual funds and exchange traded funds – including firms that advise both mutual funds and private funds with similar investment strategies;
  • Digital assets, which include cryptocurrencies, coins, and tokens; and
  • Cybersecurity.

There will also be time allotted to answer specific questions and respond to comments from webcast attendees.

The SEC Examination Priorities and Focus Areas for 2019 webcast is complimentary.