DOE Risk Alerts

The Division continues to focus on advisers’ compliance with the Marketing Rule. The staff is sharing these observations to continue to promote compliance with the ...

The Division is providing this information to help municipal advisors better understand the examination process and prepare for an examination

This Risk Alert provides some insight regarding the examination process for funds and includes an attachment outlining the types of documents and information that are ...

This DOE risk alert provides insights into how the SEC selects B-Ds to examine, and topics to query

The Division encourages advisers to reflect upon their own practices, policies, and procedures and to implement any appropriate modifications to their training, supervisory, oversight, and ...

Among other things, EXAMS may review whether and how Registrants have evaluated the potential impact of the final rules on their: (i) business activities; (ii) ...

The Division encourages security-based swap dealers to consider improvements in their compliance programs, as may be appropriate, to further compliance with Exchange Act requirements. The ...

The SEC's exam division releases this risk alert "so that advisers may prepare themselves for an examination"

EXAMS encourages registrants to review and strengthen the policies, procedures, and internal controls of their AML programs to further their compliance with federal AML rules ...

This is the DOE's second risk alert tied to the new IA ad rule