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This Manual was prepared by the CFTC Division of Enforcement’s Office of Chief Counsel, and is property of the United States Government. The Manual reflects the ...
The Enforcement Manual (“Manual”) is a reference for staff in the Division of Enforcement (“Division” or “Enforcement”) of the U.S. Securities and Exchange Commission (“SEC” ...
Richard Chen of Richard L. Chen PLLC in New York shares a checklist to help guide an adviser's annual review of its business continuity plan.
Richard Chen of Richard L. Chen PLLC in New York shares this checklist to help advisers when bringing on new clients.
This exam request letter went to an advisory firm in 2019.
This letter came from a 2019 OCIE exam of an IA.
Richard Chen of Richard L. Chen PLLC in New York shares a checklist to help advisers when it comes to billing and charging client fees.
Regulatory Compliance Watch makes available our 2019 Compliance Calendar to our members. Download it to your current calendar application. And it's easy to do, simply ...
An adviser shares its recent exam request letter.
This is an SEC document released in April 2019.
This OCIE exam letter features questions aimed at how the adviser handles its senior clients. It also showcases an example of a trade blotter that ...
John Brennan, head of technology at Highfields Capital Management in Boston gives us permission to share his IS policy as reprinted in the book, The ...
Click here to download the AITEC‘s partial DDQ. The AITEC partnered with the Alternative Investment Management Association (AIMA) to produce this cybersecurity due diligence questionnaire ...
OCIE Exam Priorities - Regulatory Compliance Watch
This is another example of a recent OCIE document request letter sent to an RIA.
OCIE Exam Priorities - Regulatory Compliance Watch
This is a copy of an OCIE exam letter that went recently to an investment adviser.
This is a recent exam letter received by an investment adviser that features private funds.
A source passes on to us the document request letter that went to an adviser as part of OCIE's third cybersecurity sweep exam.
A peer shares the advisory firm's guidelines for fixed income management. You could view this as an investment policy statement.
A peer shares the advisory firm's IM agreement.
The International Securities Services Association grants IA Watch approval to share with you its cybersecurity glossary. It urges you to visit its web pages: https://www.issanet.org/e/pdf/2018-10_ISSA_Cyber_Risk_in_Securities_Services.pdf ...
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