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Regulatory Releases

Transfer agents should review their practices, policies, and procedures to ensure funds and securities are protected while held at the transfer agent.
This is OCIE's exam priorities for 2019.
OCIE encourages advisers to review their risks, practices, policies, and procedures regarding electronic messaging and to consider any improvements to their compliance programs that would ...
Examiners intend to focus on certain mutual funds and exchange-traded funds, the activities of their advisers, and boards of directors’ oversight. Examinations will target circumstances ...
This Risk Alert includes observations by OCIE staff and is intended to assist investment advisers in identifying potential issues and adopting and implementing effective compliance ...
The Office of Compliance Inspections and Examinations (“OCIE”) is issuing this risk alert to provide investment advisers (“advisers”), investors and other market participants with information ...
Advisers should review their practices, policies, and procedures to ensure compliance with their advisory agreements and representations to clients in light of the fee and ...
It is our privilege to share with you the 2018 examination priorities of the Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities ...
Municipal Advisors should take steps to educate themselves regarding their compliance obligations. Exam staff frequently observed deficiencies in MA compliance with regulatory obligations regarding registration, ...
Advisers should review their compliance programs and practices in light of the topics noted in this Risk Alert. This information is intended to assist advisers ...
This Risk Alert provides a summary of observations from OCIE’s examinations of registered broker‐dealers, investment advisers, and investment companies conducted pursuant to the Cybersecurity Examination ...
This Risk Alert highlights the importance of conducting penetration tests and vulnerability scans on critical systems and implementing system upgrades on a timely basis.
The five most frequent compliance topics identified in deficiency letters sent to SEC-registered investment advisers.
This release, from January 2017, describes the top exam priorities for the SEC's Office of Compliance Inspections and Examinations for 2017.
Staff intends to focus on registered investment advisers that provide advisory services from multiple locations. The examinations will focus on evaluating the design and effectiveness ...
The Staff is examining registered investment advisers and registered broker-dealers, reviewing, among other things, compliance manuals, codes of ethics, employment agreements, and severance agreements to ...
OCIE staff intends to conduct examinations of registered investment advisers that employ or contract with supervised persons that have a history of disciplinary events. These ...
OCIE is seeking to identify conflicts of interest tied to advisers’ compensation or financial incentives for recommending mutual fund and 529 Plan share classes that ...
The CFTC requires any person that claims an exemption from CPO registration under CFTC Regulation 4.13(a)(1), 4.13(a)(2), 4.13(a)(3), 4.13(a)(5), an exclusion from CPO registration under ...
Based on feedback from CPO Members, NFA has made some slight enhancements to the CPO Form PQR, available in EasyFile, effective for the quarter ending ...
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