SEC Fiduciary Standards Update

The SEC Proposes Rules and Interpretations to Address Relationships Between Retail Investors and Investment Professionals The Securities and Exchange Commission (Commission) has been considering issues relating to retail investor relationships with investment professionals for several years.  A study was undertaken following passage of the Dodd-Frank Act, resulting in certain recommendations in a 2011 report.  However,… READ MORE

SEC Posts 2018 Exam Priorities

The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) released its 2018 National Exam Program examination priorities yesterday. While most of the topics are familiar, there are a few new items of note. OCIE has divided its priorities into four categories: Retail investors including Seniors and those saving for retirement “Disclosures of the Costs of… READ MORE

Oyster Publishes SEC Exam Priorities White Paper

Oyster Consulting’s recent white paper SEC 2017 Exam Priorities White Paper (February, 2017) offers compliance professionals items to take into consideration for each topic addressed in the letter. If you have any questions or concerns about any of these topics, please contact us.  Our consultants are experts in these areas and have the experience and perspective… READ MORE