Michael Schofield, Author at Dinsmore Compliance Services, LLC

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Division of Examinations: SEC Fiscal Year 2026 Examination Priorities for Investment Advisers

Posted on November 20, 2025 (November 24, 2025)

On November 17, 2025, the Division of Examinations of the United States Securities & Exchange Commission (the “Division”) published the Fiscal Year 2026 Examination Priorities. In addition to investment advisers, the Division has examination responsibility for broker-dealers, investment companies, self-regulatory organizations, clearing agencies,

Best Practices in Share Class Reviews

Posted on July 27, 2021 (February 14, 2023)

The following is a list of best practices applicable to the share class review process. This guide aims to provide helpful tips regarding the process of replacing an advisory client’s existing mutual fund share class with a lower-cost alternative, where it is

Author: Michael Schofield

Posts by Michael Schofield

Division of Examinations: SEC Fiscal Year 2026 Examination Priorities for Investment Advisers

Best Practices in Share Class Reviews

Find out what the DCS difference can mean for compliance in your business, connect now.