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Sweeps (39)
Your search for Sweeps returned 39 results.
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3/29/2019 | Content area: Investment Adviser
A source passes on to us the document request letter that went to an adviser as part of OCIE's third cybersecurity sweep exam.
3/28/2019 | Content area: Investment Adviser
Last month we reported that the SEC’s latest cybersecurity sweep exam is in full swing (IA Watch, March 14, 2019). Now IA Watch shares with you a copy...
7/26/2018 | Content area: Investment Adviser
IA Watch has obtained a copy of an OCIE sweep exam request letter tied to how advisers are handling cryptocurrencies.   The exam letter probes whether...
7/25/2018 | Content area: Investment Adviser
A sources shares with IA Watch a copy of an OCIE document request letter that focuses on how the adviser handles cryptocurrencies.
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...
6/21/2018 | 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...
4/19/2018 | Content area: Investment Adviser
IA Watch has learned that a host of advisers has received letters from the SEC asking them to explain why they haven’t filed Form PF. Negotiations are...
2/13/2018 | Content area: Investment Adviser
A peer shares OCIE's target date sweep letter that the firm received.
7/19/2017 | Content area: Investment Adviser
This correspondence is another OCIE document request letter that looks at business development companies.
6/29/2017 | Content area: Investment Adviser
With cybersecurity risks threatening our privacy, it’s no wonder some would seek technology to shield their communications from prying eyes. But you c...
6/28/2017 | Content area: Investment Adviser
A peer at an investment advisory firm that has BDC funds shares a copy of a OCIE sweep exam letter sent to the firm.
6/26/2017 | Content area: Investment Adviser
A peer shares a copy of a sweep exam letter that looked at how the advisory firm handles and oversees electronic messaging.
7/15/2015 | Content area: Investment Adviser
This is a copy of an SEC sweep exam looking at fixed income portfolios. This was shared by a CCO peer.
6/25/2015 | Content area: Investment Adviser
Last week, we alerted you to a new sweep exam by OCIE that digs into firms’ whistleblower policies (IA Watch, June 18, 2015). IA Watch has now obtaine...
6/22/2015 | Content area: Investment Adviser
This is a copy of a 2015 OCIE sweep exam document request letter that focused on whistleblower programs and confidentiality agreements.
6/18/2015 | Content area: Investment Adviser
An initial sign of potential trouble for a firm under SEC examination is the relationship between business/operations and legal/compliance, said Jina ...
5/14/2015 | Content area: Investment Adviser | Private Fund
IA Watch has learned that some Internet-only advisers, including “robo” advisers using computer-based programs, are receiving OCIE exam letters. A sep...
2/03/2015 | Content area: Investment Adviser | Broker-Dealer
This Risk Alert provides summary observations from OCIE’s examinations of registered broker-dealers and investment advisers, conducted under the Cyber...
9/18/2014 | Content area: Investment Adviser
That sweep of investment advisers and broker-dealers announced earlier this year to look at how firm’s deal with cybersecurity has concluded (IA Watch...
8/28/2014 | Content area: Investment Adviser
IA Watch has obtained a copy of the SEC’s alternative mutual fund sweep letter. As we’ve reported (IA Watch, Aug. 25, 2014), it focuses on leverage a...


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