Content Areas

Search Terms

Category

 See More >

Date Range

From:
To:

Topics

Clear
OCIE Risk Alerts (28)
Your search for OCIE Risk Alerts returned 28 results.
Sorted by Date

5/23/2019 | Content area: Investment Adviser
Cybersecurity concerns have driven OCIE May 23 to release a new risk alert urging investment advisers and broker-dealers to “actively oversee any vend...
4/16/2019 | Content area: Investment Adviser
With cybersecurity as hot as a black hole, it’s no surprise that OCIE wants advisers to take a new look at their cybersecurity P&Ps as well as how the...
2/13/2019 | Content area: Broker-Dealer
In recent years, OCIE has conducted 75 exams of transfer agents and now the grades are in.   OCIE’s latest risk alert sums up what troubled examiners ...
4/12/2018 | Content area: Investment Adviser
The first risk alert from OCIE in 2018 lists fee and expense issues that commonly cause exam deficiencies.   “Advisers should review their practices, ...
9/21/2017 | Content area: Investment Adviser
“Advertising has been a perennial issue for us,” said Kevin Kelcourse, associate OCIE regional director in Boston, in explaining OCIE’s newest risk al...
2/07/2017 | Content area: Investment Adviser
The five most frequent compliance topics identified in deficiency letters sent to SEC-registered investment advisers.
2/07/2017 | Content area: Investment Adviser
Consider that you’ve been served notice. OCIE’s latest risk alert pinpoints the five most troublesome areas found during exams. They’re topics that ad...
10/27/2016 | Content area: Investment Adviser | Broker-Dealer
Investment advisers’ and broker-dealers’ compliance manuals, codes of ethics, employment agreements and severance agreements are being scrutinized by ...
9/19/2016 | Content area: Investment Adviser
OCIE staff intends to conduct examinations of registered investment advisers that employ or contract with supervised persons that have a history of di...
11/09/2015 | Content area: Investment Adviser
This risk alert, from November 2015, centers on advisers that rely upon outsourced CCOs. It flags behaviors these CCOs should avoid, based on what was...
9/15/2015 | Content area: Investment Adviser
OCIE staff will continue its focus on cybersecurity by conducting examinations of registered broker-dealers and investment advisers. The examinations ...
8/24/2015 | Content area: Broker-Dealer
This Risk Alert summarizes deficiencies that OCIE staff observed in the controls that certain broker-dealers put in place to comply with obligations r...
6/22/2015 | Content area: Investment Adviser
National exam staff intends to focus on certain registered investment advisers and broker-dealers that provide services or sell investment products to...
4/20/2015 | Content area: Investment Adviser
The national exam staff intends to focus on certain never-before-examined registered investment companies. Such examinations will focus on the followi...
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...
10/09/2014 | Content area: Broker-Dealer
This Risk Alert summarizes deficiencies that OCIE staff observed in the controls that certain broker-dealers put in place to comply with obligations r...
4/15/2014 | Content area: Investment Adviser | Broker-Dealer
OCIE will be conducting examinations of more than 50 registered broker-dealers and registered investment advisers, focusing on areas related to cybers...
1/29/2014 | Content area: Investment Adviser | Private Fund
This Risk Alert summarizes OCIE staff observations on the due diligence practices of certain investment advisers that manage and/or recommend alternat...
9/17/2013 | Content area: Investment Adviser | Broker-Dealer
Compliance issues related to Rule 105 of Regulation M, which governs short selling prior to pricing of certain offerings. Key Takeaways: Investment ad...
8/27/2013 | Content area: Investment Adviser | Broker-Dealer
This is an OCIE risk alert published in August 2013 that includes best practices for RIA business continuity plans (BCP) taken from lessons learned fo...


Did you find what you were looking for?



Leave your comments below regarding what you are looking for and someone from our team will reach out to help you.


© 2019 PEI Media LLC. ALL RIGHTS RESERVED | PRIVACY POLICY | TERMS & CONDITIONS | ABOUT US | CONTACT US