Richey May

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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.

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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

Contact Us

Richey May Headquarters
9605 S. Kingston Ct. Suite 200
Englewood, CO 80112
Directions
303-721-6131
info@richeymay.com
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
303-721-6131
info@richeymay.com
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
303-721-6131
info@richeymay.com
303-721-6232

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SEC Guidelines

Our team is dedicated to furthering their education regarding current trends and practices within the industries we serve in order to maximize the benefit to our clients.

Alternative Investment

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

Articles - Mar 23, 2021
Alternative Investment

SEC Announces Modernized Marketing and Advertisement Rule for Investment Advisers

Articles - Jan 12, 2021
Alternative Investment

The SEC Modernizes the Accredited Investor Definition

Articles - Aug 26, 2020
Alternative Investment

The SEC Has Proposed A Modernized Framework for Fund Valuation Practices

Articles - May 12, 2020
SEC Guidelines

A Beginner’s Guide to Alternative Investments

February 2020 In December 2019, the SEC voted to propose amendments to the definition of accredited investor, which would allow more people and entities to qualify as accredited investors based on more sophisticated criteria than the...

Articles - Feb 26, 2020
Cybersecurity

OCIE Cybersecurity Update for Market Participants

February 2020 On January 27th, the Office of Compliance Inspections and Examinations released an updated report on the requirements and industry best practices that market participants should be following in order to reduce their...

Articles - Feb 18, 2020
SEC Guidelines

2020 OCIE Examination Priorities | Summary for Our Clients

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...

Articles - Jan 22, 2020
SEC Guidelines

OCIE Releases 2020 Examination Priorities

January 2020 The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) 2020 examination priorities have just been announced. The changes reflect the evolution of the industry as a whole—as...

Articles - Jan 09, 2020
SEC Guidelines

SEC Proposes to Update Accredited Investor Definition to Increase Access to Investments

December 2019 The Securities and Exchange Commission announced today that they have voted to propose amendments to the definition of accredited investor, which would modernize the approach that determines who is eligible to participate...

Articles - Dec 18, 2019
SEC Guidelines

Risk Alert from the OCIE

September 2019 The OCIE recently published a Risk Alert that provides an overview of the most common compliance issues identified by the OCIE in examinations of advisers related to Investment Adviser Principal and Agency Cross...

Articles - Sep 23, 2019
Audit

The Custody Rule Revisited

May 2019 The majority of advisers to Pooled Investment Vehicles that operate on a calendar year recently passed a significant deadline on April 30. The Custody Rule (Rule 206(4)-2) requires that advisers custody client funds and...

Articles - May 01, 2019
SEC Guidelines

SEC Announces 2019 Examination Priorities

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...

Articles - Jan 23, 2019

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Commercial Banking(1) Technology(99) Alternative Investment(104) Mortgage(187) Real Estate(32) Media and Entertainment(15) Business Insights(72)