SEC Examinations

OCIE’s second risk alert of the year has hit the street and it includes a litany of actions to avoid if you wish to skip ...

Those 13 lucky advisers that recently settled SEC enforcement actions for failing to file required Form PFs haven’t yet shaken the agency (PF Watch, June ...

Few parts of the country spar with hurricanes like southeastern Texas. But last year’s Hurricane Harvey slammed Houston and surrounding areas with a rare onslaught, ...

No one questions that the number of OCIE exams of advisers is increasing, and even more may occur should SEC Chairman Jay Clayton coax more ...

OCIE’s interest in performance advertising reaches into its exams of private equity fund advisers, too.   For instance, you don’t want to say that you ...

When the link between OCIE and Enforcement is closer than the link between OCIE and the SEC’s policy divisions, firms and individuals change the way ...

While The Robare Group’s enforcement case remains unresolved, the SEC isn’t giving up on the contention that the use of the word ‘may’ in describing ...

Supplemental Information for Entities Directed to Supply Information to the Commission Other Than Pursuant to Commission Subpoena

The examination staff of the Office of Compliance Inspections and Examinations (OCIE) of the Securities and Exchange Commission (Commission) has prepared this brochure to provide ...

File this under the boys scouts’ rule to be prepared. If you’re a real estate adviser, know that some OCIE examiners may question your right ...