DOE Risk Alerts

Investment advisers and broker-dealers should take extra steps to make sure they’re validating investors’ identities and the authenticity of disbursement instructions, have “a trusted contact ...

The SEC has formed a new task force that regulators hope will help keep them ahead of market crises. The team, officially called the Event ...

Cyber-baddies targeting financial professionals have stepped up their game so now’s a good time for investment advisers and broker-dealers to step up, too, OCIE says ...

The COVID-19 crisis has turned the world upside down, but private fund advisers still must be extra vigilant about how new and different situations effect ...

Cyber-baddies have gotten better at their ransomware and are targeting financial professionals, OCIE says in a new risk alert released July 10. Hackers are also ...

The SEC’s recent private funds risk alert points to structural problems in the industry—problems that the Commission itself is in a unique position to help ...

The sample document request is intended to help empower compliance professionals in the industry with questions and tools they may use

Many of the deficiencies discussed below may have caused investors in private funds to pay more in fees and expenses than they should have or ...

In March, OCIE Director Pete Driscoll promised private fund advisers that the SEC would this year issue a risk alert directed at them. “That’s something ...

SEC regulators will examine for “good faith” efforts to comply with the Commission’s new Reg BI rule, OCIE says in a new risk alert. Chairman ...