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SEC OCIE Examinations: Letter to Newly Registered Advisers

This SEC letter is intended to provide information to newly registered investment advisers as to the National Exam Program, and to provide information about upcoming examinations and the topical areas that may be examined. Among the areas on which examination is expected to focus are the following:

  • Marketing
  • Portfolio Management
  • Conflicts of Interest
  • Safety of Client Assets (custody)
  • Valuations

View letter here (links externally to SEC website).

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Tags

Regulated Activities
Accounting and Audit Account Statements Custody
Regulated Entities
Adviser / CTA / CPO Investment Funds (SEC Registered)
Body of Law
Securities Law
Jurisdiction
US - Federal
Organization
SEC