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OCIE Risk Alerts

OCIE encourages registrants to consider reviewing and updating their Regulation S-P and Regulation S-ID policies and programs to address the emergent risk of credential stuffing
The SEC’s recent risk alert on COVID-19 challenges private fund advisers to come up with “creative” solutions to a new, and world-historic, phenomenon, experts tell ...
Investment advisers and broker-dealers should take extra steps to make sure they’re validating investors’ identities and the authenticity of disbursement instructions, and have “a trusted ...
Investment advisers and broker-dealers should take extra steps to make sure they’re validating investors’ identities and the authenticity of disbursement instructions, have “a trusted contact ...
The SEC has formed a new task force that regulators hope will help keep them ahead of market crises. The team, officially called the Event ...
Cyber-baddies targeting financial professionals have stepped up their game so now’s a good time for investment advisers and broker-dealers to step up, too, OCIE says ...
The COVID-19 crisis has turned the world upside down, but private fund advisers still must be extra vigilant about how new and different situations effect ...
Cyber-baddies have gotten better at their ransomware and are targeting financial professionals, OCIE says in a new risk alert released July 10. Hackers are also ...
The SEC’s recent private funds risk alert points to structural problems in the industry—problems that the Commission itself is in a unique position to help ...
The sample document request is intended to help empower compliance professionals in the industry with questions and tools they may use
Private funds are struggling with conflicts of interest, fees and expenses and policies and procedures on protecting against the leak of material, non-public information, a ...
In March, OCIE Director Pete Driscoll promised private fund advisers that the SEC would this year issue a risk alert directed at them. “That’s something ...
SEC regulators will examine for “good faith” efforts to comply with the Commission’s new Reg BI rule, OCIE says in a new risk alert. Chairman ...
Examples of the areas the staff may focus on during examinations are discussed below
After the compliance date, OCIE staff intends to engage in examinations to assess broker-dealers’ implementation and operational effectiveness of Regulation Best Interest
Private funds will be the subject of their own separate risk alert later this year, OCIE Director Pete Driscoll says. “That’s something we’ve been getting ...
One of the audiences the Commission targets is investors
OCIE releases results of IC exams
 Investment advisers are struggling with disclosure rules tied to agency cross trades, and when selling or buying securities from their clients—especially when pooled investments are ...
This Risk Alert provides an overview of the most common compliance issues identified by the Office of Compliance Inspections and Examinations (“OCIE”)∗ related to principal ...
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