Analyzing issues of significance to retail traders
Highlight On Expertise: Portia Amato, Compliance Officer
By now, each CCO and their crew have requested themselves this query, and you probably have not already, that is the time to take action, particularly you probably have not been the fortunate host to a SEC Audit in a while.
The Workplace of Compliance Inspections and Examinations (OCIE) of the Securities and Trade Fee (SEC) has launched their listing of priorities for the 12 months and it’s overlaying plenty of floor. They did break it down into three focus areas:
1) Analyzing issues of significance to retail traders
2) Specializing in dangers particular to aged and retiring traders
3) Assessing market-wide dangers
On this first a part of a three-part sequence, Portia Amato evaluations the primary focus space, Analyzing Issues of Significance to Retail Traders, together with the subtopics and the way Registered Funding Advisors (RIA’s) and Dealer Sellers (BD’s) alike can deal with these issues ought to the SEC pay a go to.
Obtain Compliance Bulletin: It is 2017, What Are The SEC’s Priorities?
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ABOUT PORTIA AMATO
Portia Amato is a seasoned Compliance Officer, having over 18 years of funding administration expertise. Over the course of her profession, Portia has specialised in compliance, operations and consumer providers for funding advisors and high tier funding banks. Portia additionally efficiently helped to launched two wrap-fee applications for New York Life Funding Administration and US Belief