SEC Announces 2019 Examination Priorities

Blog Post SEC Announces 2019 Examination Priorities

SEC Announces 2019 Examination Priorities

January 2019

The SEC announced its Office of Compliance Inspections and Examinations’ (OCIE) 2019 priorities. Hedge fund managers, private equity firms and broker-dealers should continue to pay attention to these priorities when evaluating their own compliance programs in the coming year. The experts at Richey May have summarized the examination priorities that we believe are of particular importance to Registered Investment Advisors, managing pooled investment vehicles and separately managed accounts, as well as broker-dealers. To read Richey May’s summary, download the PDF:

 

OCIE 2019 Examination Priorities Summary

 

As the published priorities are not exhaustive and may change as the year progresses, our Alternative Investment industry experts at Richey May will continue to monitor the SEC for updates. Should you have any questions, please contact Stephen Vlasak.

 

To read the SEC’s exam priorities in its entirety, visit: https://www.sec.gov/news/press-release/2018-299.