The staff of the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (staff) issued a National Exam Program Risk Alert on June 23, 2020 (Risk Alert). The Risk Alert focuses on advisers that...more
7/17/2020
/ Conflicts of Interest ,
Ethics ,
Excessive Fees ,
Fee Disclosure ,
Investment Adviser ,
MNPI ,
OCIE ,
Private Funds ,
Risk Alert ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC)
The U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations issued a National Exam Program Risk Alert on July 11, 2018. The Risk Alert highlights OCIE’s observations of compliance issues...more
8/3/2018
/ Best Execution ,
Broker-Dealer ,
Compliance ,
Disclosure Requirements ,
Fiduciary Duty ,
Form ADV ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
OCIE ,
Risk Alert ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC)
This year’s examination priorities of the Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission (SEC) were announced on February 6, 2018, and cover five broad, albeit...more
3/9/2018
/ Anti-Money Laundering ,
Budgets ,
Compliance ,
Cryptocurrency ,
Cybersecurity ,
Elder Issues ,
ETFs ,
Financial Industry Regulatory Authority (FINRA) ,
Incident Response Plans ,
Investor Protection ,
MSRB ,
Municipal Advisers ,
Mutual Funds ,
OCIE ,
Popular ,
Publicly-Traded Companies ,
Retail Investors ,
Risk Assessment ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC)
The Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission (SEC) on January 12, 2017 announced its examination priorities for the current year. The priorities extend to nearly...more
The Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission (SEC) issued a National Exam Program Risk Alert on October 24, 2016 (Risk Alert) regarding examinations of...more
10/28/2016
/ Amended Regulation ,
Broker-Dealer ,
Compliance ,
Dodd-Frank ,
Investment Adviser ,
OCIE ,
Risk Alert ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Violations ,
Whistleblower Awards ,
Whistleblower Protection Policies
The Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission (SEC) on January 11, 2016 announced its examination priorities for this year, which “address issues across a variety...more
2/17/2016
/ Analytics ,
ETFs ,
Financial Institutions ,
OCIE ,
Popular ,
Retail Investors ,
Retirement ,
Risk Assessment ,
SEC Examination Priorities ,
Securities Exchanges ,
Variable Annuities