DOE Risk Alerts

This Risk Alert summarizes OCIE staff observations on the due diligence practices of certain investment advisers that manage and/or recommend alternative investments to their clients

Compliance issues related to Rule 105 of Regulation M, which governs short selling prior to pricing of certain offerings. Key Takeaways: Investment advisers, investment companies, ...

This is an OCIE risk alert published in August 2013 that includes best practices for RIA business continuity plans (BCP) taken from lessons learned following ...

This Risk Alert encourages awareness of options trading activity that could be used to avoid complying with the close-out requirements under Reg SHO. Such activities ...

OCIE's National Exam Program staff observations regarding ways in which advisers fail to comply with the Advisers Act custody rule

Regulatory concerns related to “Pay‐to‐Play” practices under MSRB rules

Examiners have observed that some broker-dealers have not maintained, nor did they require the maintenance of, adequate written evidence that they complied with their obligations ...

This Risk Alert encourages firms to review their controls designed to prevent unauthorized trading and other unauthorized activities

Observations related to the use of social media by registered investment advisers

The branch inspection process is a critical component of a comprehensive risk management program and can help protect investors and the interests of the firm. ...