Part 2 of 3: It’s 2017, What Are The SEC’s Priorities?

 In Compliance Bulletin, Compliance/ Risk Management

Risks Specific To Senior Investors and Retirement Investments

Spotlight On Talent: Portia Amato, Compliance Officer 

Now that we have examined the SECs’ focus on Retail Investors (Part 1: It’s 2017, What Are the SEC’s Priorities?), it is time to turn our attention to the OCIE’s 2nd focus area: Risks specific to Senior Investors and Retirement Investments as well as a few other initiatives on the 2017 Priority List.
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Portia AmatoABOUT 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

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