DOE Risk Alerts

"Programs must include reasonable policies and procedures to identify relevant red flags for covered accounts offered by the firm and incorporate those red flags into ...

EXAMS encourages broker-dealers to review their policies and procedures related to the new and enhanced information requirements under Rule 606 and reevaluate the accuracy and ...

The staff will review whether investment advisers have adopted and implemented written policies and procedures that are reasonably designed to prevent violations

The staff continued to observe deficiencies relating to supervision, including many of the same types observed in the 2017 Risk Alert

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Errors that examiners spotted included use of inaccurate percentages to calculate fees, use of an incorrect or outdated fee schedule, double-billing of fees, not adjusting ...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