DOE Risk Alerts

Examples of the areas the staff may focus on during examinations are discussed below

After the compliance date, OCIE staff intends to engage in examinations to assess broker-dealers’ implementation and operational effectiveness of Regulation Best Interest

Private funds will be the subject of their own separate risk alert later this year, OCIE Director Pete Driscoll says. “That’s something we’ve been getting ...

One of the audiences the Commission targets is investors

OCIE releases results of IC exams

 Investment advisers are struggling with disclosure rules tied to agency cross trades, and when selling or buying securities from their clients—especially when pooled investments are ...

The most frequent principal trading and agency cross transaction compliance issues identified by DOE staff in examinations of advisers

OCIE encourages advisers, when designing and implementing their compliance and supervision frameworks, to consider the risks presented by hiring and employing supervised persons with disciplinary ...

Investment advisers have to do a better job of disclosing their employees’ disciplinary records, a new OCIE risk alert says. OCIE staff conducted more than ...

Don’t just take the word of any applicant about the person’s disciplinary history. Investigate whether the person’s being honest about past troubles. This is one ...