Timothy Silva

WilmerHale

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SEC Guidance for Private Fund Advisers

On June 23, 2020, the US Securities and Exchange Commission (SEC) Office of Compliance Inspections and Examinations (OCIE) issued a risk alert (Risk Alert) describing common deficiencies and compliance issues for...more

7/8/2020 / Conflicts of Interest , Corporate Governance , Hedge Funds , Investment Adviser , Investment Funds , Material Nonpublic Information , OCIE , Private Equity Funds , Risk Alert , Securities and Exchange Commission (SEC)

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)

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