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May 2018 Archives

OCIE Announces Upcoming Cybersecurity Sweep - What it Means for Your Firm

Thumbnail image for ocie-cybersecurity-sweep.pngThough we've known ever since the SEC released its exam priorities for 2018 that cybersecurity would continue, as in years past, to be a priority, the SEC's Office of Compliance Inspections and Examinations ("OCIE") recently announced a plan for a new cybersecurity sweep.

Wrap Fee Programs in 2018 - Is Your Firm Prepared for SEC Scrutiny?

wrap fee programsThe 2018 SEC Exam Priorities once again listed wrap fee programs as one of their areas of focus this year. This is not unexpected, as the continued push by the SEC to protect retail investors (and the subset of senior/retiring investors) often revolves around the issue of fees. Often times, the SEC looks at how the obfuscation of how fees affect the performance of investments - and the confusion for investors trying to understand these fees is not acceptable.

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