The SEC’s Office of Compliance Inspections and Examinations (OCIE) has announced their exam priorities for the upcoming year. You can read the press release here.
Stay tuned to the Bates News page in the upcoming weeks for our expert commentary on the SEC’s 2020 objectives, how they compare to other years, and how they may impact your legal and compliance matters in the future.
If you would like to join IBDC-RIAC Alliance Members at the April 10, 2024 Yankees vs Marlins baseball game, Yankee Stadium 7:00 pm, please send Lilian Morvay a message at: Lilian@IBDCconsulting.com and she will send you an invitation.
The following IBDC-RIAC Alliance Members will be your hosts: