Insight

5 key takeaways: SEC Compliance Outreach program

SEC OCIE Compliance Outreach program for investment adviser and investment company senior officers

Sean McKee

Sean McKee

Partner, Audit, KPMG US

+1 609-947-2529

Michael Republicano

Michael Republicano

Senior Manager, Dept. of Professional Practice, KPMG US

+1 212-872-7816

On November 19, 2020, the United States Securities and Exchange Commission (SEC) Office of Compliance Inspections and Examinations (OCIE) held their annual Compliance Outreach Program for Investment Adviser and Investment Company Senior Officers. The virtual event covered a range of compliance related matters, and included discussions with representatives from OCIE, the SEC’s Division of Enforcement, SEC’s Division of Investment Management, and the asset management industry.

Top 5 takeaways
Download Top 5 Takeaways, a special KPMG report on the OCIE event.

 

Discover insights on:

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  • Conflicts of interest present an opportunity for improvement
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  • Fintech, ESG, and retail investors—opportunities for growth, but proceed with caution