News & Analysis as of

Cybersecurity › Securities and Exchange Commission (SEC) › Exchange Traded Funds

Follow this channel for advisories on one of the biggest threats to businesses today. Read a morning brief of fresh guidance and commentary by leading lawyers on security, privacy, risk... more +
Follow this channel for advisories on one of the biggest threats to businesses today. Read a morning brief of fresh guidance and commentary by leading lawyers on security, privacy, risk management, global regulations, data protection, leaks, hacking, cyber insurance, compliance, HIPAA, and every other aspect of cybersecurity of import to corporate readers right now.   less -
K&L Gates LLP

The SEC Publishes 2024 Examination Priorities Ahead of Schedule, Previewing Key Areas of Focus for Registered Entities

K&L Gates LLP on

On 16 October 2023, the Division of Examinations (Division) of the US Securities and Exchange Commission (SEC) released its examination priorities for the 2024 fiscal year (the Report). The Division released this Report...more

Patterson Belknap Webb & Tyler LLP

SEC Division of Examinations Announces 2024 Priorities

Patterson Belknap Webb & Tyler LLP on

On Monday, October 16, the Securities and Exchange Commission’s (“SEC”) Division of Examinations (“Division”) “released its 2024 examination priorities to inform investors and registrants of the key risks, examination topics,...more

Dechert LLP

SEC Division of Examinations Releases 2021 Examination Priorities

Dechert LLP on

The Securities and Exchange Commission’s Division of Examinations (EXAMS) published its report on 2021 Examination Priorities on March 3, 2021. The 2021 Examination Priorities cover eight broad topics: - The protection...more

Dechert LLP

OCIE Releases 2020 Examination Priorities

Dechert LLP on

The 2020 Examination Priorities of the Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission were announced on January 7, 2020, and cover eight broad topics: - Protection...more

Jones Day

OCIE Publishes Its 2020 Examination Priorities

Jones Day on

The Situation: The U.S. Securities and Exchange Commission's ("SEC") Office of Compliance Inspections and Examinations ("OCIE") issued its 2020 examination priorities ("Exam Priorities"). The Result: The Exam Priorities...more

Blank Rome LLP

Regulatory Update and Recent SEC Actions - July 2019

Blank Rome LLP on

REGULATORY UPDATES - Investors Continue to Press Regulators for Disclosure of Environmental, Social, and Governance (“ESG”) Risks...more

Vedder Price

Investment Services Regulatory Update - May 2019

Vedder Price on

New Rules, Proposed Rules, Guidance and Alerts – GUIDANCE AND ALERTS – OCIE Risk Alert Highlights Risks Associated with Adviser and Broker-Dealer Use of Cloud-Based Storage of Customer Records - On May 23, 2019,...more

Blank Rome LLP

Regulatory Update and Recent SEC Actions - January 2019

Blank Rome LLP on

Fund and Investment Management January 2019 (No. 1) REGULATORY UPDATES Policy Initiatives Set Forth by the U.S. Securities and Exchange Commission’s (“SEC”) Investment Management Division On September 28, 2018, Division of...more

A&O Shearman

SEC’s Office of Compliance Inspections and Examinations Announces 2019 Examination Priorities

A&O Shearman on

The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) has issued its examination priorities for 2019. In it, OCIE points out that its examination program covers some 13,200...more

WilmerHale

Regulatory Monitor: SEC Update

WilmerHale on

On February 7, 2018, the Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) released its 2018 examination priorities. This year’s priorities comprise five principal areas: (1)...more

Dechert LLP

SEC 2018 Examination Priorities Match Chairman Clayton’s Priorities as Reflected in the Agency’s Budget Request

Dechert LLP on

This year’s examination priorities of the Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission (SEC) were announced on February 6, 2018, and cover five broad, albeit...more

Nelson Mullins Riley & Scarborough LLP

2018 OCIE Examination Priorities Announced

Nelson Mullins Riley & Scarborough LLP on

Recently, the Office of Compliance Inspections and Examinations (“OCIE” or “Examiners”) announced its annual examination priorities, highlighting areas of focus for its investigative and regulatory efforts this year. The...more

Troutman Pepper

SEC Announces 2018 National Examination Priorities

Troutman Pepper on

The Securities and Exchange Commission's Office of Compliance Inspections and Examinations (OCIE) recently announced its 2018 national examination priorities, which are broken down into five categories...more

K&L Gates LLP

The SEC’s Office of Compliance Inspections and Examinations and FINRA Announce 2018 Examination and Regulatory Priorities

K&L Gates LLP on

On January 8 and February 7, 2018, respectively, the Financial Industry Regulatory Authority (“FINRA”) and the Office of Compliance Inspections and Examinations (“OCIE”) of the U.S. Securities and Exchange Commission (“SEC”)...more

Vedder Price

Investment Services Regulatory Update - February 2018

Vedder Price on

New Rules, Proposed Rules, Guidance and Alerts – SEC STAFF GUIDANCE AND ALERTS - SEC Staff Issues Guidance on Cryptocurrency-related Holdings - On January 18, 2018, the staff of the SEC’s Division of Investment...more

Vedder Price

Investment Services Regulatory Update - October 2017

Vedder Price on

New Rules, Propsed Rules, Guidance and Alerts - SEC STAFF GUIDANCE AND ALERTS - SEC Staff Extends No-Action Relief on Auditor Independence and the “Loan Provision” - On September 22, 2017, the staff of the SEC’s...more

Carlton Fields

Expect Focus - Volume III - September 2017

Carlton Fields on

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. ...more

Vedder Price

Investment Services Regulatory Update - August 2017

Vedder Price on

On August 7, 2017, the SEC’s Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert providing a summary of the staff’s observations from sweep exams of broker-dealers, investment advisers and funds...more

Sullivan & Worcester

Asset Managers: Are You Ready for Your Exam? Steps You Should Take Now

Sullivan & Worcester on

Last week we told you about the five biggest pet peeves of the SEC’s Office of Compliance Inspections and Examinations (OCIE) when examining investment advisers. This week, we want to get you ready for your exam. Here are the...more

Morrison & Foerster LLP

Examination Priorities for 2017 from FINRA and OCIE

Morrison & Foerster LLP on

In these uncertain times, the predictability and regularity of the annual priorities letters from FINRA and the Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) is...more

Kramer Levin Naftalis & Frankel LLP

Funds Talk: February 2017

Kramer Levin Naftalis & Frankel LLP on

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

Morrison & Foerster LLP

OCIE 2017 Exam Priorities: Focus on Retail, Elderly and Retirement Investors; Market Risks

Morrison & Foerster LLP on

The SEC’s National Examination Program (NEA) of the Office of Compliance Inspections and Examinations (OCIE) announced that its examination priorities in 2017 will focus on three general areas: retail investors, risks...more

Burr & Forman

SEC’s 2017 Exam Priorities

Burr & Forman on

OCIE released its 2017 exam priorities on January 12. The priorities list was most notable for being shorter than prior years. But that likely means only more focus, rather than less vigor....more

Ballard Spahr LLP

Recent Investment Management Developments - May 2016

Ballard Spahr LLP on

Below is a summary of recent investment management developments that affect registered investment companies, private equity funds, hedge funds, investment advisers, and others in the investment management industry. ...more

Orrick - Finance 20/20

SEC Announces 2016 Examination Priorities

Orrick - Finance 20/20 on

On January 11, the SEC announced its Office of Compliance Inspections and Examinations’ (OCIE) 2016 priorities. New areas of focus include liquidity controls, public pension advisers, product promotion, and two popular...more

27 Results
 / 
View per page
Page: of 2
Next »

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
Sign up Log in
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide