The SEC’s Office of Compliance and Inspections (“OCIE”) announced its 2018 examination priorities on February 7, 2018.
Please join ACA for a webcast focusing on those priorities as they relate to investment companies and their service providers.
Discussion topics include:
- Mutual funds and exchange traded funds and the risk to retail investors
- Focus on transfer agents
- Oversight of service providers:
- Anti-money laundering controls
- Cybersecurity controls
- Topical focus areas:
- Exemptive order compliance
- Cross trades and other trading restrictions