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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

SEC Division of Examinations Announces 2021 Examination Priorities: | Summary for Our Clients

Articles by: Richey May, Mar 23, 2021

In March, The Securities and Exchange Commission’s Division of Examinations announced its 2021 examination priorities. The Division will also focus on conflicts of interest for brokers (Regulation Best Interest) and investment advisers (fiduciary duty), and attendant risks relating to FinTech in its initiatives and examinations. The examination priorities are published annually to provide insights into its risk-based approach, including the areas it believes present potential risks to investors and the integrity of the U.S. capital markets. The stated priorities are:

  • Information Security and Operation Resiliency
  • Financial Technology FINTECH and Innovation
  • Specific focus areas relating to Investment Advisers and Investment Companies
  • Additional attention to areas involving broker-dealers and municipal advisers
  • Market infrastructure
  • Anti-Money laundering programs
  • Focus on FINRA AND MSRB

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

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