On May 16, 2024, the Securities and Exchange Commission (SEC) adopted final amendments to Regulation S-P, one year after issuing the proposed amendments (discussed here). Regulation S-P is a set of privacy rules that govern...more
On March 15, 2023, the Securities and Exchange Commission (SEC) proposed three rule changes that demonstrate its continued focus on cybersecurity. One of these proposals, and the only one to be unanimously approved (the...more
The Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) has published a risk alert, warning SEC-registered investment advisers, brokers and dealers about the increasing use of...more
10/1/2020
/ Broker-Dealer ,
Cyber Attacks ,
Cybersecurity ,
Data Protection ,
Financial Institutions ,
Investment Adviser ,
OCIE ,
Regulation S-ID ,
Regulation S-P ,
Risk Alert ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Securities Regulation
The SEC’s Office of Compliance Inspections and Examinations (OCIE) released its examination priorities for 2019 in order to promote the transparency of its investigation program....more
2/1/2019
/ Anti-Money Laundering ,
Cryptocurrency ,
Cybersecurity ,
Digital Assets ,
Examination Priorities ,
Financial Industry Regulatory Authority (FINRA) ,
Investment Opportunities ,
MSRB ,
OCIE ,
Regulatory Agenda ,
Regulatory Oversight ,
Retail Investors ,
Securities and Exchange Commission (SEC)
Amid concerns that many investors may not fully understand the risks associated with virtual currencies, or the limits of regulatory oversight, the National Futures Association (NFA) recently issued an interpretive notice...more
9/5/2018
/ Bitcoin ,
Commodities ,
Commodity Trading Advisors (CTAs) ,
CPOs ,
Cryptocurrency ,
Currency Exchange ,
Cybersecurity ,
Digital Currency ,
Disclosure Requirements ,
Financial Markets ,
Futures ,
Futures Commission Merchants (FCMs) ,
Interpretive Rule ,
Introducing Brokers ,
Investment Products ,
Investor Protection ,
National Futures Association ,
NFA ,
Popular ,
Regulatory Oversight ,
Regulatory Requirements ,
Virtual Currency
On August 7, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) released a Risk Alert summarizing the results of its second cybersecurity preparedness examination. The...more
OCIE Highlights Frequent Topics for Compliance Deficiencies for Investment Advisers -
On Feb. 7, 2017, the Securities and Exchange Commission’s (SEC’s) Office of Compliance Inspections and Examinations (“OCIE”) published...more
3/2/2017
/ Books & Records ,
Chief Compliance Officers ,
Covered Agreement ,
Custody Rule ,
Cyber Attacks ,
Cybersecurity ,
Data Breach ,
Data Protection ,
Enforcement Actions ,
Ethics ,
EU ,
Filing Requirements ,
Financial Institutions ,
Financial Services Industry ,
Form ADV ,
Insurance Industry ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
NYDFS ,
OCIE ,
Registered Investment Companies (RICs) ,
Regulatory Oversight ,
Reinsurance ,
Risk Alert ,
Rule 204-2 ,
Securities and Exchange Commission (SEC) ,
Strict Compliance
Private Fund Advisers, Robo-Advisers, ETFs Among SEC, FINRA Exam Priorities for 2017 -
As the new year begins, U.S. regulators highlighted the areas – some new and some familiar – which will be the focus of their...more
2/2/2017
/ Bail-In Provisions ,
Bank Recovery and Resolution Directive (BRRD) ,
Banks ,
Benefit Plan Sponsors ,
Cybersecurity ,
Department of Financial Services ,
Employee Retirement Income Security Act (ERISA) ,
ETFs ,
EU ,
Financial Industry Regulatory Authority (FINRA) ,
Insurance Industry ,
Investment Adviser ,
NYDFS ,
Private Funds ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC)