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Professional Disciplinary Actions › Office of Compliance Inspections and Examinations

Vedder Price

OCIE Issues Risk Alert Relating to Investment Adviser Oversight of Supervised Persons with Disciplinary Histories

Vedder Price on

On July 23, 2019, the SEC’s Office of Compliance Inspections and Examinations (OCIE) issued a risk alert outlining its observations and recommendations following an examination initiative that focused on oversight practices...more

Kramer Levin Naftalis & Frankel LLP

OCIE Releases Risk Alert on Compliance Issues Related to Investment Advisers’ Supervised Persons With Disciplinary History

Kramer Levin Naftalis & Frankel LLP on

On July 23, the SEC’s Office of Compliance Inspections and Examinations (OCIE) released a risk alert setting forth compliance issues that OCIE had observed during its series of examinations of SEC-registered investment...more

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