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

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

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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

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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.

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

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.