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Asset Management › Conflicts of Interest › Office of Compliance Inspections and Examinations

Akin Gump Strauss Hauer & Feld LLP

SEC Risk Alert Highlights on COVID-19-Related Compliance Risks and Considerations for Investment Advisers and Broker-Dealers

Akin Gump Strauss Hauer & Feld LLP on

- The OCIE of the SEC highlights that responses to COVID-19 present important regulatory and compliance issues for SEC registrants, including “heightened risks of misconduct” tied to recent market volatility. - The Risk...more

Latham & Watkins LLP

Multitudes, Multitudes: The SEC’s Asset Management Unit Delivers Important Messages for Investment Advisers

Latham & Watkins LLP on

The SEC signals continued scrutiny of asset management firms for all manner of violations — including technical violations first identified in exams. On February 26, Julie Riewe, the Co-Chief of the SEC’s Asset...more

Stinson - Corporate & Securities Law Blog

Hedge Funds And Private Equity Groups On SEC Examination Priority List

Stinson - Corporate & Securities Law Blog on

The Office of Compliance Inspections and Examinations, or OCIE, administers the SEC’s nationwide examination and inspection program. The National Examination Program, or NEP, has published its examination priorities to...more

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