Founder and President Amy Lynch has been selected to speak on the SEC’s recently released 2018 exam priorities. Ms. Lynch will participate as a panelist during the upcoming webinar, “Prepping Your 2018 SEC Exam Cheat Sheet,” hosted by IGNITES and its Exchange webinar series. She will discuss highlights of this year’s SEC exam priorities document and offer recommendations to attendees on how firms and their compliance should prepare for a potential exam. See our ComplianceAlert…
With the long awaited release of the SEC’s 2018 exam priorities, registered investment advisers now have a clearer picture of the regulatory areas at the top of the SEC’s current agenda. Founder and President Amy Lynch advises firms to be diligent in reviewing disclosures to ensure they are consistent and accurate. While historically included as a target exam area by the SEC, Ms. Lynch explains that fees and disclosures have special emphasis in this year’s…
On February 7, 2018, the Office of Compliance Inspections and Examinations (OCIE) issued its much awaited 2018 National Exam Program Examination Priorities. What was issued this year reads more like a business plan or mission statement for the SEC rather than a letter to the industry, as has been the style in years past. However, like previous releases it covers the SEC’s new exam focus too.
The first three pages describe OCIE and its goals…
As the industry still awaits the annual SEC Exam Priorities Letter, there are a number of theories being offered on why the 2018 version is delayed. Amy Lynch, FrontLine’s Founder and President, sees the SEC still grappling with proposing new requirements for firms to protect retail investors of cryptocurrencies and initial coin offerings. Since cryptocurrencies and related offerings are evolving issues, Ms. Lynch believes the SEC is still finalizing the comments they would include in…
