SEC Examinations

As OCIE demonstrated recently with its cash-solicitation risk alert (IA Watch, Oct. 31, 2018), advisers often fail to show they’ve done due diligence to ensure ...

If you’re an adviser to a mutual fund, then OCIE’s 4th risk alert of 2018 is for you.   The four-page alert, released Nov. 8, ...

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 ...

A good day for a compliance examiner is helping a firm identify issues and working with that firm to correct those issues in an efficient, ...

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 ...

OCIE’s second risk alert of the year has hit the street and it includes a litany of actions to avoid if you wish to skip ...

Those 13 lucky advisers that recently settled SEC enforcement actions for failing to file required Form PFs haven’t yet shaken the agency (PF Watch, June ...

Few parts of the country spar with hurricanes like southeastern Texas. But last year’s Hurricane Harvey slammed Houston and surrounding areas with a rare onslaught, ...

No one questions that the number of OCIE exams of advisers is increasing, and even more may occur should SEC Chairman Jay Clayton coax more ...

OCIE’s interest in performance advertising reaches into its exams of private equity fund advisers, too.   For instance, you don’t want to say that you ...