News & Analysis as of

Life Insurance Office of Compliance Inspections and Examinations

Carlton Fields

OCIE Turns Up Heat on Private Fund Adviser Compliance

Carlton Fields on

On June 23, the SEC’s Office of Compliance Inspections and Examinations issued a risk alert providing an overview of certain compliance deficiencies observed in examinations of registered investment advisers managing private...more

Carlton Fields

OCIE Continues Relentless Cybersecurity Focus

Carlton Fields on

The level of attention that the SEC’s Office of Compliance Inspections and Examinations has been giving to cybersecurity issues can hardly be overstated. ...more

Carlton Fields

OCIE Risk Alert Highlights Compliance Program Catch-22

Carlton Fields on

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

Vedder Price

Investment Services Regulatory Update - December 2018

Vedder Price on

New Rules, Proposed Rules, Guidance and Alerts – NEW RULES – SEC Adopts New Rules Permitting Covered Investment Fund Research Reports – On November 30, 2018, the SEC adopted Rule 139b under the Securities Act of...more

Carlton Fields

SEC Targets Variable Insurance Products

Carlton Fields on

Once again, the SEC’s Office of Compliance Inspections and Examinations (OCIE) has made variable insurance products an exam priority....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

Carlton Fields

SEC Scrutinizes Multi-Manager Arrangements

Carlton Fields on

Many mutual funds implement their investment strategies through "multi-manager" (also called "manager of manager") arrangements, particularly funds used to support variable life insurance and annuity products. Among other...more

Carlton Fields

OCIE Lessons From Cybersecurity 2 Initiative

Carlton Fields on

On August 7, the SEC’s Office of Compliance Inspections and Examinations (OCIE) issued a risk alert containing observations from its Cybersecurity 2 Exam Initiative. As a follow-up to the 2014 Cybersecurity 1 initiative, the...more

8 Results
 / 
View per page
Page: of 1

"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:
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide