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DOE Risk Alerts
With cybersecurity as hot as a black hole, it’s no surprise that OCIE wants advisers to take a new look at their cybersecurity P&Ps as ...
Transfer agents should review their practices, policies, and procedures to ensure funds and securities are protected while held at the transfer agent.
In recent years, OCIE has conducted 75 exams of transfer agents and now the grades are in. OCIE’s latest risk alert sums up what ...
OCIE encourages advisers to review their risks, practices, policies, and procedures regarding electronic messaging and to consider any improvements to their compliance programs that would ...
Examiners intend to focus on certain mutual funds and exchange-traded funds, the activities of their advisers, and boards of directors’ oversight. Examinations will target circumstances ...
This Risk Alert includes observations by OCIE staff and is intended to assist investment advisers in identifying potential issues and adopting and implementing effective compliance ...
The Office of Compliance Inspections and Examinations (“OCIE”) is issuing this risk alert to provide investment advisers (“advisers”), investors and other market participants with information ...
Advisers should review their practices, policies, and procedures to ensure compliance with their advisory agreements and representations to clients in light of the fee and ...
The first risk alert from OCIE in 2018 lists fee and expense issues that commonly cause exam deficiencies. “Advisers should review their practices, policies, ...
Many of the deficiencies examiners found related to fundamental compliance duties