2018 SEC Exam Priorities and Focus Areas for Investment Companies
Date
Time
Location
Your desk!
Type
Webcast
The SEC’s Office of Compliance and Inspections (“OCIE”) announced its 2018 examination priorities on February 7, 2018.
Please join ACA for a webcast focusing on those priorities as they relate to investment companies and their service providers.
Discussion topics include:
- Mutual funds and exchange traded funds and the risk to retail investors
- Focus on transfer agents
- Oversight of service providers:
- Anti-money laundering controls
- Cybersecurity controls
- Topical focus areas:
- Exemptive order compliance
- Cross trades and other trading restrictions