Angstadt, Janet M.; Dickstein, David; Goldstein, Mark; … - In: Journal of Investment Compliance 19 (2018) 2, pp. 1-4
Purpose: To analyze SEC Staff’s announced 2018 OCIE Examination priorities to provide insight to investment advisers and other regulated entities regarding areas of focus during SEC examinations. Design/methodology/approach: This article discusses the US Securities and Exchange Commission’s...
