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Risk Alert Corporate Governance Investment Adviser

Akin Gump Strauss Hauer & Feld LLP

The SEC’s Latest Risk Alert Puts ESG Investing in the Crosshairs

The Securities and Exchange Commission’s (SEC, or Commission) Division of Examinations (Division) recently issued a Risk Alert highlighting staff observations from examinations of investment advisers, registered investment...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

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

Dechert LLP

The Good and the Bad from OCIE’s Cyber Examinations and What Firms Should Do Next

Dechert LLP on

The Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission (SEC) released a National Examination Program Risk Alert (Risk Alert) on August 7, 2017 regarding observations from...more

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