Alexandra Poe

Alexandra Poe

Reed Smith

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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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