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SEC Examinations (122)
Your search for SEC Examinations returned 122 results.
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1/17/2019 | Content area: Investment Adviser
IA Watch has obtained a copy of an Excel file demonstrating the trade blotter format OCIE would like firms to submit during an SEC exam.   The new for...
1/10/2019 | Content area: Investment Adviser
The New Year starts with advisers facing OCIE exams left wondering what they should do. And they’re not alone.   Marlon Paz used to work at the SEC. H...
1/04/2019 | Content area: Investment Adviser
Click here to open an Excel file that is described as OCIE's latest request for how examined firms should construct their trade blotters. This comes c...
1/02/2019 | Content area: Investment Adviser
Predictions that OCIE would put out its 2019 exam priorities before 2018 ended proved true (IA Watch, Nov. 13, 2018), as did prognostications that the...
12/20/2018 | Content area: Investment Adviser
This is OCIE's exam priorities for 2019.
12/14/2018 | Content area: Investment Adviser
OCIE encourages advisers to review their risks, practices, policies, and procedures regarding electronic messaging and to consider any improvements to...
12/14/2018 | Content area: Investment Adviser
In recognition that the way the world communicates has changed, OCIE has released its 5th risk alert of the year. It features observations examiners c...
11/21/2018 | Content area: Investment Adviser
The goal for FY 2018 was for OCIE to examine 15% of IAs. Instead, examiners achieved examining 17% of the IA universe in the federal fiscal year that ...
11/21/2018 | Content area: Investment Adviser
As OCIE demonstrated recently with its cash solicitation risk alert (IA Watch, Oct. 31, 2018), advisers often fail to show they’ve done due diligence ...
11/13/2018 | Content area: Investment Adviser
As OCIE demonstrated recently with its cash-solicitation risk alert (IA Watch, Oct. 31, 2018), advisers often fail to show they’ve done due diligence ...
11/12/2018 | Content area: Investment Adviser
If you’re an adviser to a mutual fund, then OCIE’s 4th risk alert of 2018 is for you.   The four-page alert, released Nov. 8, lays out what topics exa...
11/08/2018 | Content area: Investment Adviser
Examiners intend to focus on certain mutual funds and exchange-traded funds, the activities of their advisers, and boards of directors’ oversight. Exa...
10/30/2018 | Content area: Investment Adviser
A good day for a compliance examiner is helping a firm identify issues and working with that firm to correct those issues in an efficient, collaborati...
10/04/2018 | Content area: Investment Adviser
One of the top methods firms use to help ensure they’re exam-ready is to hire a vendor to conduct a mock exam (IA Watch, Aug. 21, 2014).   “We do that...
9/27/2018 | Content area: Investment Adviser
Pour your trade blotter into Excel and you can knock out a series of quick compliance tests. You could examine for brokerage allocations, eye personal...
7/11/2018 | Content area: Investment Adviser
The Office of Compliance Inspections and Examinations (“OCIE”) is issuing this risk alert to provide investment advisers (“advisers”), investors and o...
7/11/2018 | Content area: Investment Adviser
OCIE’s second risk alert of the year has hit the street and it includes a litany of actions to avoid if you wish to skip trouble from examiners.   The...
7/05/2018 | Content area: Investment Adviser
Those 13 lucky advisers that recently settled SEC enforcement actions for failing to file required Form PFs haven’t yet shaken the agency (PF Watch, J...
6/28/2018 | Content area: Investment Adviser
You hear it so often it could be a commercial’s refrain: “culture of compliance.” But what exactly does that phrase mean?   Steve Levine, associate re...
6/21/2018 | Content area: Investment Adviser
Few parts of the country spar with hurricanes like southeastern Texas. But last year’s Hurricane Harvey slammed Houston and surrounding areas with a r...


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