On February 7, 2018 the Securities and Exchange Commission (SEC) Office of Compliance Inspections and Examinations (“OCIE”) released its annual top exam priorities for 2018. RIA Compliance Consultants created a questionnaire of some issues under the SEC’s 2018 Exam Priorities guidance. This questionnaire highlights some issues that may affect your investment adviser firm while providing limited, un-customized guidance for addressing those issues.
This questionnaire is available as part of Bronze, Silver, Gold, and Platinum Package subscriptions. It may be bought a la carte for $150.