The SEC has indicated that vendor management is a key concern, and that it will be a priority of the 2015 Cybersecurity sweeps.
February 8, 2015
On February 3, 2015, the SEC's Office of Compliance Inspections and Examinations ("OCIE") released a Risk Alert summarizing the results of its recent
January 26, 2015
On January 13, 2015, the SEC's Office of Compliance Inspections and Examinations ("OCIE") announced its "Examination Priorities for 2015." Notably, OCIE stated it will continue to focus on private equity fees and expenses "given the high rate of deficiencies that we h
November 4, 2014
Join ACA's Dan Smith and Jorge Rodriguez on March 4 as they discuss, "Effective Compliance Programs for Investment Advisers."