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What Will the “Eyes and Ears” of the SEC Choose to See and Hear this Year?
OCIE Announces Examination Priorities for 2015
4 February 2015
View Client Update
The staff of the Securities and Exchange Commission (the “SEC”) recently published a summary of the select priorities of the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) in connection with the National Exam Program. The priorities appear to place particular emphasis on retail investors and investors saving for retirement and market-wide risks.
Of particular interest to private equity fund sponsors, the priorities summary indicates that the National Exam Program will continue to conduct examinations that focus on fees and expenses borne by investors in private equity funds. Thus, private fund sponsors should continue to review their policies that address these issues.
Reflecting the SEC’s increasing focus on systemic risks, OCIE plans to focus on the following initiatives: (i) cybersecurity; (ii) large firm monitoring; (iii) clearing agencies; and (iv) potential equity order routing conflicts.
Kenneth J. Berman
Michael P. Harrell
UK Modern Slavery Act Transparency Statement
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