SEC Examinations

Washington may be undergoing dramatic changes but there’s one constant: OCIE’s increasing exams of investment advisers.   “OCIE is business as usual. We’re still doing ...

Click here to open a Word file contributed by SEC3 Compliance Consultants in Phoenixville, Pa. This is a list of 30 SEC exam preparation tips ...

Recorded: 01-24-2017

New items you’ll find in OCIE’s list of 2017 exam priorities include robo advisers, an expanded never-been-examined effort, money market fund advisers, “financial exploitation” of ...

Staff intends to focus on registered investment advisers that provide advisory services from multiple locations. The examinations will focus on evaluating the design and effectiveness ...

The SEC has confirmed that it has succeeded in bolstering its staffing in the investment adviser/investment company exam program by roughly 20%. The Commission had ...

Last fall, we reported how Fidelity’s contract could open advisers up to a claim that they hold custody of client funds – and thus would ...

Professional athletes, with their astronomical salaries, high-dollar endorsement deals and often free spending ways, have historically been favored marks for fraudulent schemes. For the second ...

The SEC will remain focused on never-before-examined investment advisers and investment companies and hopes to ratchet up the number of exams it conducts with a ...

Some may flinch at the thought of government asking private entities for the names of staffers who have made political contributions but OCIE’s doing just ...