Assessing Market-Huge Dangers
Highlight On Expertise: Portia Amato, Compliance Officer
That is the third installment of our 3-part collection, It is 2017, What Are The SEC’s Priorities?, by which we focus on the 2017 examination priorities of the Workplace of Compliance Inspections and Examinations of the Securities and Trade Fee.
This yr the SEC priorities are organized round three thematic areas: 1) Analyzing issues of significance to retail buyers; 2) Specializing in dangers particular to aged and retiring buyers and three) Assessing market-wide dangers.
On this third and closing article, we check out the SEC’s third focus initiative, “Assessing Market-Huge Dangers”.
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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 prime tier funding banks. Portia additionally efficiently helped to launched two wrap-fee packages for New York Life Funding Administration and US Belief