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Technology Solutions

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

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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

SEC Announces 2019 Examination Priorities

Articles by: Richey May, Jan 23, 2019

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.