mock regulatory exam

SEC Exams Highest in Over 10 Years

The U.S. Securities and Exchange Commission ("SEC") last week confirmed that examinations of investment advisers continued to increase in fiscal year 2017. In its Agency Financial Report, the SEC revealed that its National Exam Program had examined 15% of registered investment advisers in FY2017, the highest percentage in over 10 years. Much of this increase is due to a shift in the SEC's internal resources to its investment adviser examination program.
 

5 Things Investment Advisers Need to Know about Regulatory Investment in Trade Surveillance

ACA Compliance Group recently hosted the webcast briefing Regulatory Investment in Trade Surveillance – What You Should KnowKenny Clowers, Managing Director at ACA Compliance Group, and Farid Razzak, Data Science and Analytics Engineer at ACA Surveillance Technology, discussed how the SEC's ongoing commitment to developing its technological capabilities for detecting financial crimes