DOE Risk Alerts

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 ...

During recent examinations, the Office of Compliance Inspections and Examinations (“OCIE”)∗ identified security risks associated with the storage of electronic customer records and information by ...

Cybersecurity concerns have driven OCIE May 23 to release a new risk alert urging investment advisers and broker-dealers to “actively oversee any vendors” providing cloud ...

Through sharing some of the Regulation S-P compliance issues it observed, OCIE encourages registrants to review their written policies and procedures, including implementation of those ...

With cybersecurity as hot as a black hole, it’s no surprise that OCIE wants advisers to take a new look at their cybersecurity P&Ps as ...

Transfer agents should review their practices, policies, and procedures to ensure funds and securities are protected while held at the transfer agent.

In recent years, OCIE has conducted 75 exams of transfer agents and now the grades are in.   OCIE’s latest risk alert sums up what ...

OCIE encourages advisers to review their risks, practices, policies, and procedures regarding electronic messaging and to consider any improvements to their compliance programs that would ...

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 ...

This Risk Alert includes observations by OCIE staff and is intended to assist investment advisers in identifying potential issues and adopting and implementing effective compliance ...