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A Look at the 2020 SEC Examination Priorities for RIA Firms

Friday, January 17, 2020    3:00pm - 3:30pm EST

On January 7, 2020, the Securities and Exchange Commission ("SEC") Office of Compliance Inspections and Examinations released its 2020 list of registered investment adviser ("RIA") examination priorities. In this 30 minute webinar, we'll review this most recent examination priority list and discuss how it compares to past priority lists and recently issued risk alerts. 

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To schedule a member of the RIA in a Box team to speak at an investment adviser industry event, click here.