News & Analysis as of

Risk Alert Conflicts of Interest Securities and Exchange Commission (SEC)

Skadden, Arps, Slate, Meagher & Flom LLP

Investment Management Update - November 2023

...SEC Adopts Amendments to Fund Names Rule - On September 20, 2023, the U.S. Securities and Exchange Commission (SEC) adopted amendments to Rule 35d-1 under the Investment Company Act of 1940 (the Fund Names Rule) as well...more

Dechert LLP

SEC Division of Examinations Publishes Risk Alert Providing Observations from Broker-Dealer Examinations Related to Regulation...

Dechert LLP on

The Securities and Exchange Commission’s Division of Examinations (Division) issued a Risk Alert (Risk Alert) on January 30, 2023 highlighting deficiencies its Staff observed during recent Regulation Best Interest...more

Goodwin

U.S. Securities and Exchange Commission Division of Examinations Publishes Observations from its Registered Investment Company...

Goodwin on

The staff of the U.S. Securities and Exchange Commission’s (“SEC”) Division of Examinations (the “Division”) recently published a risk alert spotlighting observations from its “RIC Initiatives” — 200+ examinations of mutual...more

Eversheds Sutherland (US) LLP

Digital Assets: The SEC’s roadmap for distribution and exams

In the span of the last five months, the Securities and Exchange Commission (SEC) and its staff have issued two statements, a risk alert and an exam priorities roadmap, all of which address digital assets in full or in part....more

Foley & Lardner LLP

SEC Examination Risk Alert Signals Focus on Digital Asset Securities

Foley & Lardner LLP on

On February 26, 2021, the SEC’s Division of Examinations issued a Risk Alert signaling an exam focus this year on activities of investment advisers, broker-dealers, exchanges, and transfer agents related to Digital Asset...more

Akin Gump Strauss Hauer & Feld LLP

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

- 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

King & Spalding

OCIE’S Latest Risk Alert: Another Warning Shot for Private Fund Advisers

King & Spalding on

On June 23, 2020, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) published a Risk Alert, Observations from Examinations of Investment Advisers Managing Private Funds (the “Risk Alert”), detailing their...more

Dechert LLP

OCIE Publishes Risk Alert Regarding Recent Focus Areas in Private Fund Adviser Examinations

Dechert LLP on

The staff of the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (staff) issued a National Exam Program Risk Alert on June 23, 2020 (Risk Alert). The Risk Alert focuses on advisers that...more

Morgan Lewis

SEC Staff Observes Common Deficiencies in Examinations of Private Fund Advisers

Morgan Lewis on

The SEC’s Office of Compliance Inspections and Examinations issued a Risk Alert citing common deficiencies identified during examinations of investment advisers managing hedge funds and private equity funds, particularly...more

Kramer Levin Naftalis & Frankel LLP

SEC Releases Risk Alert on Observations From Examinations of Investment Advisers Managing Private Funds

On June 23, the SEC’s Office of Compliance Inspections and Examinations (OCIE) released a risk alert (the Risk Alert) that identified three general areas of deficiencies in regard to its examination of private fund advisers:...more

WilmerHale

SEC Guidance for Private Fund Advisers

WilmerHale on

On June 23, 2020, the US Securities and Exchange Commission (SEC) Office of Compliance Inspections and Examinations (OCIE) issued a risk alert (Risk Alert) describing common deficiencies and compliance issues for...more

Akin Gump Strauss Hauer & Feld LLP

SEC Risk Alert Addresses Private Fund Adviser Conflicts of Interest, Fee and Expense Management, and Policies and Procedures...

- On June 23, 2020, the SEC and OCIE issued its latest Risk Alert describing common deficiencies it has observed in recent examinations of registered investment advisers that manage private equity funds or hedge funds. -...more

Proskauer Rose LLP

SEC Releases Risk Alert Identifying Common Private Equity and Hedge Fund Compliance Deficiencies

Proskauer Rose LLP on

On June 23rd, the staff of the U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) issued a new risk alert entitled “Observations from Examinations of Investment Advisers...more

Akerman LLP

SEC Issues a Warning to Private Equity Fund Managers

Akerman LLP on

On June 23, 2020, the Office of Compliance Inspections and Examination (OCIE) of the Securities and Exchange Commission (SEC) published a risk alert (Risk Alert) that highlighted certain compliance deficiencies observed by...more

Vedder Price

Regulation Best Interest Update OCIE Risk Alert on Initial Examinations

Vedder Price on

On April 7, 2020, the Securities and Exchange Commission’s (the “SEC” or the “Staff”) Office of Compliance Inspections and Examinations (“OCIE”) issued a Risk Alert1 to provide broker-dealers and their associated persons...more

Skadden, Arps, Slate, Meagher & Flom LLP

Investment Management Update - September 2019

In this issue, we summarize regulatory, litigation and industry developments from May to September 2019 impacting the investment management sector, including SEC action on standards of conduct for broker-dealers and...more

Kramer Levin Naftalis & Frankel LLP

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

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

Ballard Spahr LLP

Investment Management Update

Ballard Spahr LLP on

The Investment Management Update keeps you apprised of recent developments that affect registered investment companies, private equity funds, hedge funds, investment advisers, and others in the investment management...more

Jones Day

How SEC's List of Examination Priorities for 2019 Will Affect Private Fund Advisers

Jones Day on

The Situation: The Office of Compliance Inspections and Examinations ("OCIE") of the U.S. Securities and Exchange Commission has released its 2019 Examination Priorities ("Report"). The Result: The Report details key areas...more

Ballard Spahr LLP

Investment Management Update

Ballard Spahr LLP on

The Securities and Exchange Commission Adopts Amendments to Form ADV and Investment Adviser Act Rules - The Securities and Exchange Commission (SEC) adopted amendments to Form ADV and Investment Advisers Act of 1940...more

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