In the Jan. 13 issue of ACA Insight, asset management partner Jason Brown reviews 2020 exam priorities of the SEC’s Office of Compliance Inspections and Examinations.
“Consistent with last year, the priorities this year tend to focus on advisers to retail investors,” said Jason. “The SEC is also continuing its practice of prioritizing exams of newly registered advisers, which tend to be a higher level attempt to understand the key risks areas of the adviser, as well as their culture of compliance.”
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