January 22, 2015
SEC Division of Investment Managment Director is Resigning January 25, 2015
Investment Management Director to Leave the SEC
January 21, 2015
2015 Exam Priorities Issued by OCIE
The SEC’s Office of Compliance Inspections and Examinations (OCIE) announced its 2015 examination priorities. OCIE stated that the priorities reflect certain practices and products that OCIE perceives to present potentially heightened risk to investors and/or the integrity of our capital markets. OCIE conducts examinations of registered entities, including investment advisers,…