The 2020 Examination Priorities of the Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission were announced on January 7, 2020, and cover eight broad topics:
- Protection...more
2/1/2020
/ Anti-Money Laundering ,
Broker-Dealer ,
Critical Infrastructure Sectors ,
Cybersecurity ,
Digital Assets ,
ETFs ,
Examination Priorities ,
Financial Industry Regulatory Authority (FINRA) ,
FinTech ,
Innovation ,
Investor Protection ,
MSRB ,
Municipal Advisers ,
Mutual Funds ,
OCIE ,
Registered Investment Advisors ,
Registered Investment Companies (RICs) ,
Retail Investors ,
Rulemaking Process ,
Securities and Exchange Commission (SEC) ,
Stock Exchange
In a keynote speech to the Securities Enforcement Forum on October 26, 2017, U.S. SEC Division of Enforcement (Division) Co-Director Stephanie Avakian emphasized the protection of retail investors and cybersecurity as...more
11/10/2017
/ Consumer Financial Products ,
Cyber Crimes ,
Cybersecurity ,
EDGAR ,
Hackers ,
Investment Management ,
Market Manipulation ,
Non-Public Information ,
OCIE ,
Popular ,
Retail Investors ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Stock Prices
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
A recent report by the Center for Capital Markets Competitiveness at the U.S. Chamber of Commerce (Chamber Report) regarding the enforcement program of the Securities and Exchange Commission (SEC or Commission) identified...more
10/26/2015
/ Administrative Law Judge (ALJ) ,
Administrative Proceedings ,
Admissions ,
Broken Windows ,
Capital Formation ,
Capital Markets ,
Chamber of Commerce ,
Competition ,
Corporate Crimes ,
Corporate Investigations ,
Depositions ,
Discovery ,
Enforcement Actions ,
Forum Selection ,
Injunctions ,
Investor Protection ,
OCIE ,
Securities and Exchange Commission (SEC) ,
Wells Notice
Two recent SEC Enforcement Division administrative settlements reinforce the importance for fund boards of directors and fund advisers to maintain a robust annual advisory contract renewal process....more