Alexandra Poe

Alexandra Poe

Reed Smith

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SEC Announces 2016 Exam Priorities

The SEC Office of Compliance Inspections and Examinations (“OCIE” or the “Staff”) released its 2016 Exam Priorities recently, as applicable to examined registrants other than national securities exchanges...more

1/18/2016 - EFTs OCIE Private Placements Public Pension SEC SEC Examination Priorities Securities Exchanges Variable Annuities

Guidance on CPO and CTA Annual Affirmations Requirements Due By February 29, 2016 and General Compliance Requirements for...

On December 1, 2015, the National Futures Association (the NFA) issued a notice to members to remind them of certain Commodity Futures Trading Commission (CFTC) regulations that require any person claiming an exemption or...more

12/29/2015 - AIFMD CFTC Commodity Pool CTA EU Exclusions Exemptions National Futures Association Reaffirmation

SEC Announces 2015 Exam Priorities

The SEC Office of Compliance Inspections and Examinations (“OCIE” or the “Staff”) recently released its 2015 Exam Priorities. OCIE examines all types of SEC registrants, including investment advisers, broker-dealers,...more

1/21/2015 - Broker-Dealer FINRA Fixed Income Investments Investment Adviser LiquidAlts OCIE Qualified Retirement Plans SEC SEC Examination Priorities Transfer Agents

Private Equity on Notice – Increased SEC Scrutiny and Enforcement in 2013

As has been widely reported in the press recently, the Securities and Exchange Commission’s Asset Management Unit (“AMU”) has been closely scrutinizing the fees and expenses, including travel and entertainment expenses and...more

4/4/2013

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