Overview As firms prepare their annual ADV updates or review their compliance programs, one area […]
Spotlight On Talent: Portia Amato, Compliance Officer
This is the third installment of our 3-part series, It's 2017, What Are The SEC’s Priorities?, in which we discuss the 2017 examination priorities of the Office of Compliance Inspections and Examinations of the Securities and Exchange Commission.
This year the SEC priorities are organized around three thematic areas: 1) Examining matters of importance to retail investors; 2) Focusing on risks specific to elderly and retiring investors and 3) Assessing market-wide risks.
In this third and final article, we take a look at the SEC’s third focus initiative, “Assessing Market-Wide Risks”.
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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