What SEC Exam Trends Mean For Asset Managers

By Kenneth Berman, Andrew Ceresney, Robert Kaplan, Julie Riewe and James Amler (April 26, 2019, 4:18 PM EDT) -- On March 18, 2019, the U.S. Securities and Exchange Commission released its fiscal year 2020 congressional budget justification and annual performance plan in conjunction with its fiscal year 2018 annual performance report.[1] These documents show the SEC's Office of Compliance Inspections and Examinations, or OCIE, examining more registrants, but identifying fewer deficiencies, and making significantly fewer referrals to the Division of Enforcement....

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