OCIE’s Exam Priorities are “a Must Read” for CCO’s, States Investment Management Counsel In ACA Insight

In The News
January 18, 2016

In the Jan.18 edition of ACA Insight, investment management counsel David Tittsworth (Washington, D.C.) states that the SEC’s Office of Compliance Inspections and Examinations annually publish list of priorities is “a must-read document for every chief compliance officer.” For 2016, Mr. Tittsworth especially “recommend[s] that ETFs, advisers handling retirement accounts, and private funds pay particularly close notice”, as new areas that OCIE will be keeping a close watch on.