A risk alert issued on November 7, 2019, by the SEC’s Office of Compliance Inspections and Examinations underscores a continuing dilemma faced by SEC-regulated entities....more
2/10/2020
/ Broker-Dealer ,
Cooperative Compliance Regime ,
Corporate Governance ,
Insurance Investment Products ,
Investment Adviser ,
Life Insurance ,
OCIE ,
Policies and Procedures ,
Risk Alert ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC)
The increasingly widespread use and acceptance of various types of online communications have made it more attractive — for both firms and clients — to conduct business online, while at the same time making it more doubtful...more
4/5/2019
/ Consumer Insurance Products ,
Electronic Communications ,
Investment Adviser ,
Investment Management ,
Mobile Apps ,
OCIE ,
Risk Alert ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Telecommunications ,
Text Messages
EXPECTFOCUS® is a quarterly review of developments in the insurance and financial services industry, provided on a complimentary basis to clients and friends of Carlton Fields Jorden Burt, P.A.
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10/20/2017
/ Annuities ,
Best Interest Contract Exemptions ,
Big Data ,
Blockchain ,
Capital Raising ,
Conflicts of Interest ,
Cybersecurity ,
Data Security ,
Distributed Ledger Technology (DLT) ,
Elder Abuse ,
ETFs ,
Fiduciary Duty ,
Fiduciary Rule ,
Insurance Industry ,
Interest Rates ,
Investment ,
Investment Management ,
Life Insurance ,
NAIC ,
OCIE ,
Securities and Exchange Commission (SEC) ,
STOLI
The SEC’s Office of Compliance Inspections and Examinations (OCIE) has established a dedicated team charged specifically with inspecting FINRA and other FINRA-related work.
This follows through on the SEC’s...more
In July, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) announced an initiative to identify instances where registered investment advisers may be improperly influenced by...more
10/28/2016
/ 529 Plans ,
Broker-Dealer ,
Conflicts of Interest ,
Financial Institutions ,
Financial Markets ,
Incentives ,
Investment Management ,
Mutual Funds ,
OCIE ,
Registered Investment Advisors ,
Securities and Exchange Commission (SEC) ,
Share Classes
The SEC’s Office of Compliance Inspections and Examinations (OCIE) issued a January 28, 2014 Risk Alert summarizing current practices and trends in how investment advisers conduct due diligence on private funds they recommend...more
The SEC has been pursuing several initiatives that, taken together, would significantly increase the difficulties and uncertainties presented by the securities registration exemption found in Rule 506 of Regulation D....more