Tag: inspections

Inspections for compliance with Form CRS and its rules will begin after the June 30, 2020 filing date, according to an OCIE Risk Alert dated April 7, 2020 (here). The Alert identifies key areas the staff will be examining regarding …

OCIE, Form CRS and Inspections Read More »

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The Commission’s Office of Compliance Inspections and Examinations or OCIE announced its 2019 Examination Priorities just before Christmas and the current Government partial-shutdown (here). While the inspection program is currently at a stand-still, at some point in the near future …

The 2019 OCIE National Exam Program Read More »

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