Home Regulatory Releases

Regulatory Releases

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 ...
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 ...
This release, from January 2017, describes the top exam priorities for the SEC's Office of Compliance Inspections and Examinations for 2017.
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 ...
This document identifies selected 2016 examination priorities of the Office of Compliance Inspections and Examinations of the Securities and Exchange Commission. In general, the priorities ...
This document identifies selected 2015 examination priorities of the Office of Compliance Inspections and Examinations of the Securities and Exchange Commission. In general, the priorities ...
rcw
rcw

Copyright PEI Media

Not for publication, email or dissemination