Alert - The Colorado Division of Securities Announces 2020-2021 Investment Adviser Examination Priorities
Denver – February 8, 2021 - The Colorado Division of Securities (“Division”) released its 2020-2021 investment adviser examination priorities. Publication of the priorities should help advisory firms focus attention on common deficiencies or particular industry risks when reviewing their compliance programs or preparing for examinations. Examinations serve to protect investors by ensuring that advisers are following the Colorado laws and rules that govern them. The priorities list is not meant to cover all matters that will be reviewed in an examination and advisers are required to comply with all applicable rules, which can be found on the Division’s website at Statutes and Rules.