DOE Risk Alerts

Firms struggle with alternative data, 'value-add' investors and expert networks, examiners find

EXAMS staff observed instances where supervised persons were not provided with a copy of the code or did not provide written acknowledgement of their receipt ...

Second-ever risk alert rings alarms over accurate disclosures, advertising, books-and-records, due diligence and hedge clauses

EXAMS staff observed potential failures to conduct a reasonable investigation into an investment

P&Ps untried, untested, Commission warns in new risk alert

Errors that examiners spotted included use of inaccurate percentages to calculate fees, use of an incorrect or outdated fee schedule, double-billing of fees, not adjusting ...

DOE encourages advisers to review routinely, refine, and improve, as appropriate, their fee billing policies, procedures, and practices and address new risks as they are ...

The purpose of this Risk Alert is to raise awareness of certain compliance issues the Division observed while conducting examinations of advisers providing, or claiming ...

Below are examples of deficiencies or weaknesses observed by the staff related to funds’ and their advisers’ compliance programs for portfolio management and other business ...

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 ...