OCIE 2019 Examination Priorities

Insights and guidance from ACA's team of experienced compliance and technology professionals.

Categories
SEC Updates Document Request List for Cybersecurity Examinations
April 9, 2019

The SEC's OCIE recently updated their document request list for cybersecurity examinations. Find out what's new in the document request list and how your firm should prepare for a cyber examination. 

SEC OCIE To Launch Cybersecurity Initiative Focused on M&A
March 27, 2019

Missed the 2019 Mutual Fund and Investment Management Conference? ACA's Jim Pappas shares his observations from the keynote session which featured a speaker from the SEC. 

January 9, 2019

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