Part 1 of 3: It's 2017, What Are The SEC’s Priorities?

Examining matters of importance to retail investors

Spotlight On Talent: Portia Amato, Compliance Officer 

By now, every CCO and their team have asked themselves this question, and if you have not already, this is the time to do so, especially if you have not been the lucky host to a SEC Audit in some time.

The Office of Compliance Inspections and Examinations (OCIE) of the Securities and Exchange Commission (SEC) has released their list of priorities for the year and it is covering a lot of ground. They did break it down into three focus areas:

1) Examining matters of importance to retail investors
2) Focusing on risks specific to elderly and retiring investors
3) Assessing market-wide risks

In this first part of a three-part series, Portia Amato reviews the first focus area, Examining Matters of Importance to Retail Investors, including the subtopics and how Registered Investment Advisors (RIA’s) and Broker Dealers (BD’s) alike can tackle these matters should the SEC pay a visit.

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ABOUT PORTIA AMATO
Portia Amato is a seasoned Compliance Officer, having over 18 years of investment management experience. Over the course of her career, Portia has specialized in compliance, operations and client services for investment advisors and top tier investment banks. Portia also successfully helped to launched two wrap-fee programs for New York Life Investment Management and US Trust