Video | OCIE Supervision Initiative Finds Holes in RIA Supervision & Disclosure Policies
Podcast: Private Fund Regulatory Update – Network and Cloud Storage
Podcast: Keeping Up with Recent Changes and Trends in Private Fund Regulation
Every year compliance officers face the unenviable job of performing their compliance program's annual review under Advisers Act Rule 206(4)-7). An essential element of that review is updating the firm's compliance policies...more
For registered investment advisers, examinations by the Securities and Exchange Commission (SEC) are a part of doing business. While an SEC examination is inevitable, many advisers have often wondered why they were selected...more
The staff of the SEC’s Division of Examinations (Division) released a risk alert on April 9, 2021 (Risk Alert).1 The Risk Alert discusses the staff’s observations following its recent examinations of investment advisers, as...more
- 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