DOE Risk Alerts

The most embarrassing evidence examiners uncovered was firms that prohibited such trades yet were unaware that “these trades had occurred.” The risk alert encourages best ...

Examiners found deficiencies related to inadequate disclosures and compliance programs that failed to measure up. For instance, some advisers didn’t monitor “the trading activity in ...

Nearly two-thirds of the examined advisers received staff-issued deficiency letters, which addressed the staff’s observations regarding a variety of topics. However, the vast majority of ...

Advisers did not monitor the trading activity in clients’ accounts or their monitoring activities were ineffective

This Risk Alert provides observations of deficiencies and internal control weaknesses from examinations of investment advisers and funds regarding ESG investing. It also provides observations ...

The DOE seeks to remind firms of their obligations under AML rules and regulations and to assist broker-dealers in reviewing and enhancing their AML programs, ...

In sharing the focus areas for the digital asset initiatives, the Division encourages market participants to reflect upon their own practices, policies and procedures, as ...

The Division of Examinations is issuing this Risk Alert to notify investment advisers, broker-dealers, and other market participants of a recent action relating to investments ...

Large-volume investment advisers and broker-dealers should take a fresh look at their compliance manuals and policies and procedures to make sure they’re getting right with ...

OCIE encourages both investment advisers and broker-dealers to thoroughly review and, where appropriate, amend their supervisory and compliance policies and procedures to ensure compliance with ...