DOE Risk Alerts

OCIE staff intends to conduct examinations of registered investment advisers that employ or contract with supervised persons that have a history of disciplinary events. These ...

OCIE is seeking to identify conflicts of interest tied to advisers’ compensation or financial incentives for recommending mutual fund and 529 Plan share classes that ...

This risk alert, from November 2015, centers on advisers that rely upon outsourced CCOs. It flags behaviors these CCOs should avoid, based on what was ...

OCIE staff will continue its focus on cybersecurity by conducting examinations of registered broker-dealers and investment advisers. The examinations will focus on key topics including ...

Among other things, the examinations revealed several significant deficiencies in the areas of suitability and supervision with respect to all of the examined firms’ sales ...

National exam staff intends to focus on certain registered investment advisers and broker-dealers that provide services or sell investment products to retail investors. Examination focus ...

The national exam staff intends to focus on certain never-before-examined registered investment companies. Such examinations will focus on the following topics: compliance programs; annual contract ...

This Risk Alert provides summary observations from OCIE’s examinations of registered broker-dealers and investment advisers, conducted under the Cybersecurity Examination Initiative, announced April 15, 2014

This Risk Alert summarizes deficiencies that OCIE staff observed in the controls that certain broker-dealers put in place to comply with obligations related to sales ...

OCIE will be conducting examinations of more than 50 registered broker-dealers and registered investment advisers, focusing on areas related to cybersecurity. In order to empower ...