Compliance Newsflash – February 14, 2018

February 14, 2018

DLA is committed to keeping our clients and friends updated on relevant news and topics in the industry by distributing a weekly Compliance Newsflash. We hope this provides you with helpful and insightful information for you and your firm! Join our mailing list by clicking here: DLA Newsflash Registration.

SEC Office of Compliance Inspections and Examinations Announces 2018 Examination Priorities
On February 7, 2018  the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) announced its 2018 examination priorities. OCIE publishes its exam priorities annually to improve compliance, prevent fraud, monitor risk, and inform policy. Of particular interest this year will be matters involving critical market infrastructure, duties to retail investors, and developments in cryptocurrency, initial coin offerings, and secondary market trading.
For more information, click here.

SEC to Hold National Compliance Outreach Seminar for Investment Companies and Investment Advisers
On February 13, 2018  The Securities and Exchange Commission announced the opening of registration for its compliance outreach program’s national seminar for investment companies and investment advisers.  The event is intended to help Chief Compliance Officers (CCOs) and other senior personnel at investment companies and investment advisory firms to enhance their compliance programs for the protection of investors.
For more information, click here.