DOE Risk Alerts

Firms should consider their entire organization, including branch offices, when implementing written policies and procedures for the safeguarding of customer records and information to ensure ...

Off-the-shelf compliance leads to cascading errors, regulators claim

This 2023 risk alert looks at issues that have popped up in exams of new RIAs

The Division encourages broker-dealers to review their practices, policies, and procedures with respect to Regulation Best Interest in order to address the issues raised in ...

"Programs must include reasonable policies and procedures to identify relevant red flags for covered accounts offered by the firm and incorporate those red flags into ...

EXAMS encourages broker-dealers to review their policies and procedures related to the new and enhanced information requirements under Rule 606 and reevaluate the accuracy and ...

The staff will review whether investment advisers have adopted and implemented written policies and procedures that are reasonably designed to prevent violations

The staff continued to observe deficiencies relating to supervision, including many of the same types observed in the 2017 Risk Alert

EXAMS staff observed instances where supervised persons were not provided with a copy of the code or did not provide written acknowledgement of their receipt ...

Second-ever risk alert rings alarms over accurate disclosures, advertising, books-and-records, due diligence and hedge clauses