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.
Discover insights on:
- Ongoing impact of COVID-19
- Formula for a CCOs success: empowerment, seniority, and authority
- Conflicts of interest present an opportunity for improvement
- Registered funds-regulatory dewvelopments, emerging risks, and common staff observations
- Fintech, ESG, and retail investors—opportunities for growth, but proceed with caution
