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OCIE Risk Alerts (31)
Your search for OCIE Risk Alerts returned 31 results.
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9/05/2019 | Content area: Investment Adviser
 Investment advisers are struggling with disclosure rules tied to agency cross trades, and when selling or buying securities from their clients—especi...
7/23/2019 | Content area: Investment Adviser
Investment advisers have to do a better job of disclosing their employees' disciplinary records, a new OCIE risk alert says.  OCIE staff conducted mo...
7/23/2019 | Content area: Investment Adviser
Don’t just take the word of any applicant about the person’s disciplinary history. Investigate whether the person’s being honest about past troubles. ...
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...


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