SEC Examinations

Predictions that OCIE would put out its 2019 exam priorities before 2018 ended proved true (IA Watch, Nov. 13, 2018), as did prognostications that they ...

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 ...

Here's a recap of the SEC's risk alert on e-communications

The goal for FY 2018 was for OCIE to examine 15% of IAs. Instead, examiners achieved examining 17% of the IA universe in the federal ...

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 ...

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 ...