Seth Davis

WilmerHale

+ Follow Contact

Latest Posts › Risk Alert

Share:

OCIE Issues Risk Alert Regarding Advisers and Principal and Agency Cross Trading

On September 4, 2019, the Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) released a new Risk Alert regarding principal trading and agency cross transactions under Section...more

10/15/2019 / Compliance , Cross Trading , Investment Adviser , Investment Advisers Act of 1940 , OCIE , Regulatory Oversight , Regulatory Requirements , Risk Alert , Securities and Exchange Commission (SEC) , Securities Transactions

OCIE Issues Risk Alert Regarding Advisers and Broker Dealers Failing to Comply with Regulation S P

On April 16, 2019, the Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) released a new Risk Alert regarding Regulation S-P deficiencies found in recent examinations of...more

5/15/2019 / Broker-Dealer , Consumer Privacy Rights , Disclosure Requirements , Investment Adviser , OCIE , Personally Identifiable Information , Policies and Procedures , Regulation S-P , Risk Alert , Securities and Exchange Commission (SEC)

OCIE Risk Alert on Cash Solicitation Rule

On October 31, 2018, the Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) released a new Risk Alert regarding compliance deficiencies observed in connection with Rule...more

1/29/2019 / Cash Solicitation Rule , Investment Adviser , OCIE , Registered Investment Advisors , Risk Alert , Securities and Exchange Commission (SEC)

3 Results

View per page

Page: of 1