2015 OCIE Exam Priorities / Common Compliance Mistakes Made by Advisors

G (1)
Main
10/22/2015
9:45 AM - 10:35 AM
2015 OCIE Exam PrioritiesC

  • A key focus is the priorities of retail investors and retail investors saving for retirement
  • Entry of new and complex products being offered to retail investors including Private funds, Illiquid investments and structured products
  • Sales practices, Suitability Branch offices
    Common Compliance Mistakes by Advisers

    • ADV Updating and Maintenance including an understanding of the periodic, as well as annual, updating and delivery requirements
    • Sales Literature and Marketing Materials such as performance advertisements, model versus actual performance, testimonials, 3rd party rankings, past specific recommendations and social media


      Custody, what constitutes custody and what does the adviser do if determined to have custody.

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