DOE Risk Alerts

Private funds will be the subject of their own separate risk alert later this year, OCIE Director Pete Driscoll says. “That’s something we’ve been getting ...

One of the audiences the Commission targets is investors

OCIE releases results of IC exams

 Investment advisers are struggling with disclosure rules tied to agency cross trades, and when selling or buying securities from their clients—especially when pooled investments are ...

The most frequent principal trading and agency cross transaction compliance issues identified by DOE staff in examinations of advisers

OCIE encourages advisers, when designing and implementing their compliance and supervision frameworks, to consider the risks presented by hiring and employing supervised persons with disciplinary ...

Investment advisers have to do a better job of disclosing their employees’ disciplinary records, a new OCIE risk alert says. OCIE staff conducted more than ...

Don’t just take the word of any applicant about the person’s disciplinary history. Investigate whether the person’s being honest about past troubles. This is one ...

During recent examinations, the Office of Compliance Inspections and Examinations (“OCIE”)∗ identified security risks associated with the storage of electronic customer records and information by ...

Cybersecurity concerns have driven OCIE May 23 to release a new risk alert urging investment advisers and broker-dealers to “actively oversee any vendors” providing cloud ...