DOE Risk Alerts

Large-volume investment advisers and broker-dealers should take a fresh look at their compliance manuals and policies and procedures to make sure they’re getting right with ...

OCIE encourages both investment advisers and broker-dealers to thoroughly review and, where appropriate, amend their supervisory and compliance policies and procedures to ensure compliance with ...

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 ...