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Foundational Principles In the Community Diversity, Equity & Inclusion Technical Excellence Alumni TIAG Membership
Why Cohen & Company Our Culture Total Rewards & Benefits Early Career Opportunities Experienced Opportunities Join Our Talent Community
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February 22, 2017 Mark Schikowski

OCIE Identifies 5 Compliance Areas Most Frequently Cited in Deficiency Letters to RIAs

The Office of Compliance Inspections and Examinations (OCIE) has provided a risk alert to SEC-registered investment advisers (RIAs) outlining the five compliance topics most frequently identified in deficiency letters issued to RIAs in the last two years. RIAs should take note of the deficiencies...

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February 03, 2017

SEC Examination Priorities for 2017

The Office of Compliance Inspections and Examinations (OCIE) of the Securities and Exchange Commission (SEC) recently released its 2017 exam priorities. While the priorities continue to focus on protecting retail investors, especially those investing for their retirement, and assessing broad...

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