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Trends (40)
Your search for Trends returned 40 results.
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4/21/2014 | Content area: Investment Adviser
Only about 50 investment advisers and broker-dealers will be subjected to OCIE's cybersecurity sweep, but for those that are, you now have a clear ide...
2/24/2014 | Content area: Investment Adviser
If you're your firm's CCO, know that your letter could be in the mail. Last week OCIE released a three-page letter bound for senior executives and CCO...
1/13/2014 | Content area: Investment Adviser
OCIE has released its 2014 list of exam priorities, with five new areas examiners will be asking investment advisers about this year. These include wh...
1/09/2014 | Content area: Investment Adviser
This is the list of OCIE exam priorities for 2014. This was released Jan. 9, 2014.
10/28/2013 | Content area: Investment Adviser
In the SEC's view, you're not the "only line of defense" against violations. Managers, internal auditors and senior executives share that responsibili...
2/25/2013 | Content area: Investment Adviser
This is a list of OCIE's 2013 exam priorities. This marked the first time the SEC has ever published such exam priorities. This is designed to give fi...
10/09/2012 | Content area: Investment Adviser
This is a letter from the New York Regional Office of the SEC in October 2012. This went to newly registered advisers and mentioned the initiative con...
10/09/2012 | Content area: Investment Adviser
This is a copy of a letter from OCIE released in October 2012 that went to newly registered advisers. It includes a description of the agency's presen...
1/02/2012 | Content area: Investment Adviser
Expect that compliance message the SEC sent CCOs last month to resonate throughout 2012 (IA Watch, Dec. 5, 2011). Many of the experts we turned to for...
1/03/2011 | Content area: Investment Adviser
It would be reasonable for you to seek a break after a raucous 2010 but don't expect one. Predictions for 2011 envision specific rules flowing from Do...
10/04/2010 | Content area: Investment Adviser
The cheerful news shows that total AUM by all RIAs rose $4.6 trillion last year to $38.6 trillion. This is the highest AUM total, exceeded only by the...
4/12/2010 | Content area: Investment Adviser
Granted the stock market this time last year was rebounding from its lowest point during the financial crisis, but new data from RIAs demonstrate how ...
3/15/2010 | Content area: Investment Adviser
You're either part of a firm that uses social media or you're not. While about half of advisers spend no time on social media, the other half are purs...
1/04/2010 | Content area: Investment Adviser
Financial regulatory reform from Congress tops the list of predictions for your New Year. As one compliance officer in New York put it, whatever lawma...
12/14/2009 | Content area: Investment Adviser
The SEC actually brought fewer cases against investment advisers in FY 2009 than the year before, but the ones it did pursue touched many more people....
10/26/2009 | Content area: Investment Adviser
Perhaps it was the summer time but fails to deliver securities fell 25% compared with the second quarter of 2009, according to an IA Watch analysis of...
9/28/2009 | Content area: Investment Adviser
Turns out reports of the death of Form ADV Part 2 reform are premature, but books and records changes may have to wait, according to Andrew Donohue, d...
9/28/2009 | Content area: Investment Adviser
Nearly 40% of respondents to a recent survey note they have worked with a professional to develop a financial plan, but this percentage beats out by j...
9/28/2009 | Content area: Investment Adviser
Compliance officers have never felt busier but they need to do a better job of mixing with the business teams and uncovering conflicts. "Unfortunately...
7/20/2009 | Content area: Investment Adviser
Reports indicate the SEC's new Director of Enforcement Robert Khuzami has shuffled around the division, including setting up units with special expert...


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