DOE Risk Alerts

Municipal Advisors should take steps to educate themselves regarding their compliance obligations. Exam staff frequently observed deficiencies in MA compliance with regulatory obligations regarding registration, ...

“Advertising has been a perennial issue for us,” said Kevin Kelcourse, associate OCIE regional director in Boston, in explaining OCIE’s newest risk alert. It points ...

Advisers should review their compliance programs and practices in light of the topics noted in this Risk Alert. This information is intended to assist advisers ...

This Risk Alert provides a summary of observations from OCIE’s examinations of registered broker‐dealers, investment advisers, and investment companies conducted pursuant to the Cybersecurity Examination ...

This Risk Alert highlights the importance of conducting penetration tests and vulnerability scans on critical systems and implementing system upgrades on a timely basis

The five most frequent compliance topics identified in deficiency letters sent to SEC-registered investment advisers

Consider that you’ve been served notice. OCIE’s latest risk alert pinpoints the five most troublesome areas found during exams. They’re topics that advisers should have ...

Staff intends to focus on registered investment advisers that provide advisory services from multiple locations. The examinations will focus on evaluating the design and effectiveness ...

Investment advisers’ and broker-dealers’ compliance manuals, codes of ethics, employment agreements and severance agreements are being scrutinized by SEC examiners to determine whether they contain ...

The Staff is examining registered investment advisers and registered broker-dealers, reviewing, among other things, compliance manuals, codes of ethics, employment agreements, and severance agreements to ...