A Day with the SEC
Written on September 04, 2013
JANE CAIN OGRIZOVICH CFP®, MBA

A Day with the SEC


On August 28, 2013, I attended a Compliance Outreach Seminar conducted by the US Securities & Exchange Commission.  While not the most entertaining seminar I’ve ever attended, it was very informative and gave me an opportunity to meet the SEC examiners from the Chicago district office.

OFM Wealth, as a Registered Investment Advisory firm, is regulated by the SEC and as the Chief Compliance Officer, my responsibilities include assuring that our firm complies with all SEC directives and regulations.  I was pleasantly impressed with the SEC’s stated objectives at being more transparent about their requirements and areas of concern as it relates to the examination and regulation of advisory firms.  The SEC stated that their efforts are focused on promoting effective compliance practices rather than taking a punitive approach toward investment advisors and investment companies.

It was also gratifying to recognize that our compliance program (compliance manuals, books & records, trading and reporting procedures, disclosure documents, etc.) are in place and up to date.  I owe a debt of gratitude to all OFM employees, as well as our outside compliance consultant, for assisting me in designing and maintaining our extensive compliance program.


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