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IA Watch’s The SEC Examinations Priorities Handbook, 2019 Edition

US$ 295.00

Key Information

  • ISBN: N/A
  • Publication Date: February 2019
  • Number of Pages: 350

The SEC Examinations Priorities Handbook, 2019 Edition, includes peer-proven exam best practices and key guidance for preparing you and your compliance team for an exam. Included are current SEC Exam Document Request Letters, tips from peers, risk alerts and more to help you test the current state of your exam readiness.

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Your comprehensive guide to preparing for an SEC exam

OCIE’s stated 2019 exam priorities reveal some “perennial risk areas,” such as how advisers handle senior clients and those nearing retirement and cybersecurity. But there are some nuances. Scrutiny of private fund advisers gets only scant mention and there’s a new slant on conflicts of interest, among other tweaks.

Six categories bridge the priorities:

  1. Compliance and risk at registrants responsible for critical market infrastructure;
  2. Matters of importance to retail investors, including seniors and those saving for retirement;
  3. FINRA and MSRB;
  4. Digital assets;
  5. Cybersecurity; and
  6. AML programs.

Content highlights:

  • 40 Best Practices and Guidance on SEC Exams
  • 4 Regulator Priorities Letters
  • 17 SEC Document Request Letters
  • 9 Exam Related Documents
  • 6 OCIE Risk Alerts

Who should buy this book:

  • RIA Compliance Professionals
  • Consultants
  • Lawyers

- Hugh Kennedy, Group Publisher

SEC Examinations Priorities Best Practices and Guidance

1. Introduction
2. Government shutdown likely to curtail OCIE’s record exam growth
3. CCOs are ‘partners’ who shouldn’t be walking around with a target on their backs, says Peirce
4. FINRA’s 529 initiative: how to beat the clock
5. More tips to better serve aging clients as OCIE continues to pursue this hot exam topic
6. CFTC releases first exam priorities targeting DCMs and SEFs, not CPOs/CTAs
7. OCIE’s first risk alert of 2019 targets transfer agents
8. Self-reporting initiative tied to 529 plan violations launched by FINRA
9. FINRA emphasizes ‘materially new priorities’ in 2019 examinations’ focus letter
10. Discretionary trading drawing exam scrutiny, enforcement action
11. Check out OCIE’s newest requested format for your trade blotter
12. OCIE releases its 2019 exam priorities
13. Score one for the underachiever: FINRA stops reporting exam details
14. FINRA’s exam findings report details new and continuing AML challenges
15. FINRA publishes second annual report on examination findings, effective practices
16. OCIE shares best practices for use of electronic communications
17. New SEC initiative aimed at advisers that passed on amnesty program
18. Double trouble: firm pays price for not correcting deficiencies
19. OCIE tops goal for examining advisers: Visits 17% of firms in FY 2018
20. Exam hot-spots and tips to improve your program
21. OCIE sweep exam offers a blueprint of what’s coming
22. OCIE urges advisers to review and tighten their compliance with cash solicitation rule
23. Exam overhaul at FINRA slowly taking shape
24. Save time and money: Your peers share strategies for getting the most out of a mock exam
25. Exam roundup: hot issues OCIE’s pursuing with your peers
26. OCIE to launch another cybersecurity sweep exam
27. What OCIE’s asking about in its cryptocurrency sweep exam
28. Once again, OCIE’s spotlight falls upon how firms handle best execution
29. OCIE risk alert instructs what-not-to-do when it comes to best execution
30. Evidence that can demonstrate your firm’s culture of compliance
31. Sweep exams churn up BCP lessons learned post-Hurricane Harvey
32. Two SEC custody FAQs offer many firms relief from expensive surprise exams
33. Swaps personnel at CPOs and CTAs will face an NFA exam in 2020
34. What’s hot on PE fund adviser exams: Take care to claim credit only for the deals that you deserve to
35. Even if you could tape record examiners, why would you want to?
36. Is attorney-client privilege dead? Expect tough questions if you seek the privilege
37. OCIE risk alert recommends advisers review how they calculate client fees
38. FINRA conducting a VIX-linked product review exam sweep
39. Lower percentage of exams referred to Enforcement but numbers roughly the same
40. A look at an OCIE sweep and more hot topics so you stay ever exam-ready

Regulator Priorities letters

1. SEC: 2019 Examination Priorities
2. FINRA: 2019 Annual Risk Monitoring and Examination Priorities Letter
3. FINRA: 2018 Report on Examination Findings
4. CFTC: 2019 Compliance Branch Examination Priorities

SEC Exam Document Request Letters

1. OCIE Document Request Letter that focuses on an adviser's mutual fund
2. OCIE exam letter from the New York Regional Office
3. OCIE sweep exam looking at cryptocurrencies
4. OCIE never-before-examined firm document request letter
5. OCIE exam letter asks about senior clients
6. OCIE target date sweep letter
7. OCIE exam letter focused on wrap fee programs
8. OCIE exam letter looking at private funds and whistleblower issues
9. OCIE document request letter
10. OCIE document request letter with a focus on cybersecurity
11. OCIE document request letter for a new adviser
12. OCIE exam letter from the SEC's Philadelphia Regional Office
13. An OCIE exam request letter from the SEC's Chicago Regional Office
14. SEC Document Request Letter from SEC’s Boston Regional Office
15. OCIE Document Request Letter to an adviser that manages SMAs
16. OCIE Document Request Letter out of Washington, D.C.
17. New registrant OCIE exam Document Request Letter

Exam-Related Documents

1. A trade blotter example requested by OCIE
2. Cryptocurrency questions asked of advisers during SEC exams
3. OCIE exam questions related to P&Ps for senior clients
4. OCIE exam letter asks new questions about an adviser and its older clients
5. 37 Tips for SEC exam preparedness
6. SEC Form 2389: Examination Information
7. Regulatory on-site examination guide
8. Guide to using OCIE's encrypted e-mail system
9. Guide for using Accellion to upload exam documents to the SEC

OCIE Risk Alerts

1. Transfer Agent Safeguarding of Funds and Securities (February 2019)
2. Observations from Investment Adviser Examinations Relating to Electronic Messaging (December 2018)
3. Risk-Based Examination Initiatives Focused on Registered Investment Companies (November 2018)
4. Investment Adviser Compliance Issues Related to the Cash Solicitation Rule (October 2018)
5. Compliance Issues Related to Best Execution by Investment Advisers (July 2018)
6. Overview of the Most Frequent Advisory Fee and Expense Compliance Issues Identified in Examinations of Investment Advisers (April 2018)


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