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Advisory

Richey May Advisory provides the full spectrum of transformative solutions for your business. From Technology and Risk Management to Specialty Audit Services and more, Richey May Advisory has the solutions you need to find and focus on your competitive advantage.

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Richey May Advisory

Richey May Advisory provides the full spectrum of transformative solutions for your business. From Technology and Risk Management to Specialty Audit Services and more, Richey May Advisory has the solutions you need to find and focus on your competitive advantage.

Learn More

Contact Us

Richey May Headquarters
9780 S Meridian Blvd., Suite 500
Englewood, CO 80112
Directions
303-721-6232

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

Richey May Advisory

Richey May Advisory provides the full spectrum of transformative solutions for your business. From Technology and Risk Management to Specialty Audit Services and more, Richey May Advisory has the solutions you need to find and focus on your competitive advantage.

Learn More

Richey May Advisory

Richey May Advisory provides the full spectrum of transformative solutions for your business. From Technology and Risk Management to Specialty Audit Services and more, Richey May Advisory has the solutions you need to find and focus on your competitive advantage.

Learn More

Contact Us

Richey May Headquarters
9780 S Meridian Blvd., Suite 500
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
9780 S Meridian Blvd., Suite 500
Englewood, CO 80112
Directions
303-721-6232
Alternative Investment

2020 OCIE Examination Priorities | Summary for Our Clients

Articles by: Richey May, Jan 22, 2020

January 2020

The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) recently released its 2020 exam priorities. While many priorities continue on themes from previous years, there are a few new focal points that financial service providers should prepare for. Many of these came out of the new rules and interpretations in FY 2019; others reflect the changing investment and advising world. All, of course, are designed to protect both the institution and the investor. The stated priorities are:

  • Information security
  • Financial Technology FINTECH and innovation
  • Specific focus areas involving Registered Independent Advisors and investment companies
  • Additional attention to areas involving broker-dealers and municipal advisors
  • Anti-Money laundering programs
  • Market infrastructure
  • Focus on FINRA AND MSRB

Our team has assembled a convenient summary of key priorities our clients should be sure to understand.

DOWNLOAD THE SUMMARY

For more information regarding the SEC exam priorities or the services Richey May provides to the alternative investment industry, please contact Steve Vlasak.