IA Watch's The SEC Examinations Priorities Handbook, 2019 Edition

IA Watch's The SEC Examinations Priorities Handbook, 2019 Edition

Quick Overview

The SEC Examinations Priorities Handbook, 2019 edition, includes peer-proven exam best practices and key guidance for preparing you and your compliance team for an exam. Included are current SEC Exam Document Request Letters, tips from peers, risk alerts and more to help you test the current state of your exam readiness.

Availability: In stock

Pubcode: ARGEXAMSGD19
Price: $295.00

IA Watch’s The SEC Examinations Priorities Handbook, 2019 edition

The SEC is now examining registered investment advisers at a level never seen before. In fiscal year 2018, OCIE achieved examining 17% of the IA universe, nearly doubling the percentage of IAs examined just five years ago. The trend also held for investment company exams with 15% of companies being examined and nearly half of all broker-dealers being subject to an exam last year.

And those figures will only move ever upward in 2019.

OCIE’s stated 2019 exam priorities reveal some “perennial risk areas,” such as how advisers handle senior clients and those nearing retirement and cybersecurity. But there are some nuances. Scrutiny of private fund advisers gets only scant mention and there’s a new slant on conflicts of interest, among other tweaks.

Six categories bridge the priorities:

  1. Compliance and risk at registrants responsible for critical market infrastructure;
  2. Matters of importance to retail investors, including seniors and those saving for retirement;
  3. FINRA and MSRB;
  4. Digital assets;
  5. Cybersecurity; and
  6. AML programs.


The handbook covers these areas and many others, offering best practices, guidance, tips and underlying SEC document request letters, checklists, and more.

Along with the handbook, your order also includes a companion CD with all of the book’s “tools-you-will-use” and more.

Here is a sample of some of the Document Request Letters included in the handbook:

  • A trade blotter example requested by OCIE
  • An OCIE request letter that focuses on an adviser’s mutual fund
  • Cryptocurrency questions asked of advisers during SEC exams
  • OCIE exam questions related to P&Ps for senior clients
  • An OCIE target date sweep letter
  • An OCIE exam letter focused on wrap fee programs
  • An OCIE exam letter looking at private funds and whistleblower issues
  • An OCIE document request letter for a new adviser
  • SEC document request letters across varied regions
  • And much more…


The SEC Examinations Priorities Handbook (2019 edition)
 is published by IA Watch, a compliance service of Regulatory Compliance Watch, the industry's most respected online compliance service that thousands of your peers rely on for investment adviser, broker-dealer, CPO/CTA and private fund compliance guidance. It delivers up-to-the-minute news, exclusive analysis, comprehensive compliance tools and a network of compliance peers standing at the ready to assist you. (www.regcompliancewatch.com)

Your 100% satisfaction is guaranteed. If for any reason you are not completely satisfied, simply return the handbook within 30 days for a full refund.

If you need any assistance while ordering, please e-mail customer service at customer@regcompliancewatch.com or call toll-free 1‑800-455-5844 (option 2, prompt 4).