Regulatory Compliance Association Reviews

SEC 2016 Examination Priorities

SEC 2016 Examination Priorities

Administrative Order

Fairmont Southampton, Bermuda
Date: April 17 – 19, 2016

Room Reservations: Call 1-800-441-1414
Reference “RCA 2016 Symposium” to
receive the reduced rate of $279 – $299 per night


Standard Registration: $2098
Subsidized Registration: $1498
PracticEdge Members: $1198
RCA myUniversity: Complimentary (Contact Your Curriculum Advisor)

16 hours of CLE and CPE (Accounting & Auditing Credit)

On January 11th, the SEC’s Office of Compliance Inspections and Examinations (OCIE) published its 2016 Examination Priorities.

After conducting a detailed analysis, OCIE’s 2016 Examination Priorities include several areas relevant to Alternative Investment and Asset Management Firms:

1. Cyber-security

2. Liquidity Controls

3. Using Data Analytics to Identify Signals of Potential Illegal Activity

4. Never-Before-Examined Investment Advisers and Investment Companies.

5. Private Fund Advisers – with a focus on fees and expenses as well as evaluating controls and disclosure for side-by-side management of accounts with differing fee structures.

6. Public Pension Advisers.

For a copy of OCIE’s 2016 Examination Priorities, CLICK HERE