OCIE Risk Alerts

The risk alert provides examples of notable deficiencies or weaknesses identified by OCIE staff in connection with the compliance rule

The list below contains a sample of observed practices that that may assist advisers in designing and implementing policies and procedures under the Compliance Rule

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 ...