The SEC’s Office of Compliance and Examinations (“OCIE”) released its Examination Priorities for 2017 with a focus on “certain practices, products, and services that OCIE perceives to present potentially heightened risk to investors and/or the integrity of the U.S. capital markets.”
As 2017 begins to take shape, Ascendant reviews new investment adviser regulatory trends across the DOL Fiduciary Rule, the November Election, and Dodd-Frank regulation
In an October 2013 speech that delved into CCO liability, SEC Chair Mary Jo White said, “(a)lthough we do occasionally bring enforcement actions against compliance personnel, compliance officers who perform their responsibilities diligently, in good faith, and in compliance with the law are our partners and need not fear enforcement action.”
AML. DOL. Big Data. Election 2016. The list of rulemaking changes, technology advancements and possible policy shifts is enough to send…
Rule 206(4)-7 of the Advisers Act and Rule 38a-1 of the Investment Company Act require an Investment Adviser and a…
Big data is now embedded into the fabric of the SEC and will likely inform the selection of examination targets…
With a continued focus on technology tools to filter data and detect illegal conduct in the markets, the SEC announced a record year for enforcement. In fiscal year 2016, it completed 868 total actions, an increase of almost 15 percent over just two years ago.
U.S. Securities and Exchange Commission Chair Mary Jo White will depart her role coinciding with the end of the Obama Administration…
The Department of Labor Fiduciary regulation is on the rocks, and what the incoming presidential administration plans to do with it will have lasting consequences.
Suspendisse fermentum auctor purus ut ultricies. Pellentesque euismod ultricies magna, molestie efficitur purus rutrum nec.
Lorem ipsum dolor sit amet, consectetur adipiscing elit. Nunc pulvinar turpis ipsum, finibus aliquet diam tincidunt quis. Donec imperdiet nulla nec suscipit hendrerit. Vivamus eu efficitur sem, dapibus luctus sapien.
Mary Jo White recently announced plans to depart her role coinciding with the end of the Obama Administration in January 2017. Her resignation marks the symbolic shift in the composition of the Commission.
