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Specializing in Mergers & Acquisitions, management reporting and operational improvements for you business.

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9605 S. Kingston Ct. Suite 200
Englewood, CO 80112
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303-721-6232

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Technology Solutions

 

Richey May Technology Solutions provides the full spectrum of transformative solutions for your business.

Learn More

Business Advisory

Specializing in Mergers & Acquisitions, management reporting and operational improvements for you business.

Learn More

Technology Solutions

 

Richey May Technology Solutions provides the full spectrum of transformative solutions for your business.

Learn More

Business Advisory

Specializing in Mergers & Acquisitions, management reporting and operational improvements for you business.

Learn More

Contact Us

Richey May Headquarters
9605 S. Kingston Ct. Suite 200
Englewood, CO 80112
Directions
303-721-6232

Question or comments?  Click here to fill out our inquiry form.

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Richey May Headquarters
9605 S. Kingston Ct. Suite 200
Englewood, CO 80112
Directions
303-721-6232
Alternative Investment

2016 SEC Examination Priorities

Articles by: Richey May, Feb 05, 2016

February 2016

Earlier this year, the SEC announced its Office of Compliance Inspections and Examinations’ (OCIE) 2016 priorities. Hedge fund and mutual fund managers, private equity firms and broker-dealers should pay particular attention to these priorities when evaluating their own compliance programs in the coming year. Specific areas in which the OCIE intends to focus their examinations include:

  • Protecting Retail Investors – Including those investing for retirement.
  • Market-Wide Risks – Continued focus on cybersecurity controls at broker-dealers and investment advisers, while new initiatives for 2016 include an evaluation of broker-dealers’ and investment advisers’ liquidity risk management practices and firms’ compliance with the SEC’s Regulation SCI.
  • Data Analytics – Assessing anti-money laundering compliance, detecting microcap fraud, reviewing for excessive trading, as well as new, complex and high-risk products.

To read the SEC’s press release in its entirety, please visit the following link:

SEC Announces 2016 Examination Priorities

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 at svlasak@richeymay.com.