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OCIE

News & Analysis as of May 25, 2013

Morgan Lewis

SEC Warns About Exemptive Order Compliance

by David Freese, Sean Graber, Daniel Levin, Richard F. Morris, John O'Brien, Kaitlyn L. Piper | Morgan Lewis on 5/20/2013

Division of Investment Management's guidance reminds firms to comply with conditions and representations in exemptive orders and notes that consequences for noncompliance may be "severe."...more

Ropes & Gray LLP

2013 Mutual Funds and Investment Management Conference

by Ropes & Gray LLP on 4/10/2013

In this presentation: - General Counsel’s Address - Keynote Address - General Session — It’s a Small World After All: How Non-U.S. Regulators Affect Your Business - General Session — Closer to...more

K&L Gates LLP

SEC Issues Risk Alert on Custody Rule, Reinforcing Its Message to Registered Investment Advisers in Its Examination Priorities for...

by Beth Kramer, Paulo Marnoto | K&L Gates LLP on 3/18/2013

On March 4, 2013, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) issued a Risk Alert identifying “significant deficiencies” by registered investment advisers in compliance with Rule 206(4)-2 under the...more

Dechert LLP

2013 Examination Priorities of the U.S. SEC’s Office of Compliance Inspections and Examinations

by James E.B. Bobseine, Jack Murphy, Michael L. Sherman | Dechert LLP on 3/14/2013

The Office of Compliance Inspections and Examinations (“OCIE”) of the Securities Exchange Commission (“SEC”) on February 21, 2013 announced its examination priorities for this year. These highlight market-wide issues such as...more

Morrison & Foerster LLP

Structured Thoughts -- Volume 4, Issue 4 -- February 28, 2013

by Bradley Berman, Lloyd S. Harmetz, Anna T. Pinedo | Morrison & Foerster LLP on 3/1/2013

In This Issue: Additional SEC Guidance on Estimated Value Disclosures; 2013 OCIE Examination Priorities Have Implications for Structured Products Issuers and Dealers; EITF and the Federal Funds Rate; and FDIC Proposes to...more

Ropes & Gray LLP

SEC Announces 2013 Examination Priorities for the Investment Management Industry

by Ropes & Gray LLP on 3/1/2013

The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) has published its list and discussion of examination priorities for the investment management industry in 2013, which includes both market-wide initiatives...more

Morrison & Foerster LLP

OCIE to Target Adviser Payments for Fund Distribution, Funds with “Alternative” Strategies and New Advisers

by Jay G. Baris, Kelley A. Howes | Morrison & Foerster LLP on 2/25/2013

In an attempt to “increase transparency, strengthen compliance, and inform the public and the financial services industry about key risks,” the SEC’s Office of Compliance Inspections and Examinations (OCIE) published its 2013...more

Leonard, Street and Deinard - Dodd-Frank and...

Hedge Funds And Private Equity Groups On SEC Examination Priority List

by Jill Radloff | Leonard, Street and Deinard - Dodd-Frank and... on 2/25/2013

The Office of Compliance Inspections and Examinations, or OCIE, administers the SEC’s nationwide examination and inspection program. The National Examination Program, or NEP, has published its examination priorities to...more

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