11 2016 Compliance Government Retail 
Data Matters
JANUARY 16, 2019
On December 20, 2018, the Office of Compliance Inspections and Examinations (OCIE) of the U.S. 2 The Exam Priorities can serve as a roadmap to assist advisers in assessing their policies, procedures and compliance programs; testing for and remediating any suspected deficiencies related to the Exam Priorities; and preparing for OCIE exams.
Data Matters
APRIL 10, 2018
FinCEN issued new FAQs on the CDD Rule on July 19, 2016. These FAQs are timely because the May 11, 2018 compliance date for the CDD rule is fast approaching. FinCEN clarifies that the private label retail credit exception is available only for credit that can be used solely to make purchases at the private label retailer.
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