News and Alerts Archives - Page 6 of 6

Division Of Investment Management Actively Monitoring Effects Of COVID-19 On Advisors And Funds

As a result of the current and potential effects of Coronavirus (“COVID-19”), the staff at the Division of Investment Management is hereby extending the no-action position […]

Mutual Funds + Investment Management Conference

Conference Details: We are pleased to announce that we will be a Sponsor of the ICI 2020 Mutual Funds and Investment Management Conference in Palm Desert, California. Today’s funds face […]

OCIE Issues Risk Alert

The Office of Compliance Inspections and Examinations issued a Risk Alert on November 7, 2017. The alert is based on 110 examinations conducted as part […]

OCIE Acting Director Offers Compliance Insights

Peter Driscoll, Acting Director of OCIE (“Office of Compliance Inspections and Examination”), spoke at the GIPS Standards Annual Conference in September of this year. He […]

ASK YOURSELF: Are You Ready for Potential SEC Scrutiny After Harvey?

When Hurricane Harvey made landfall in Texas on August 25 of this year, and Hurricane Irma reached land in Florida shortly after on September 10, […]

DOL Calls for Fiduciary Rule Comments, SEC Commissioner Replies

On July 25, 2017, SEC Commissioner Michael Piwowar offered a response to the Department of Labor’s public request for input about the fiduciary rule and exemptions for […]

REMINDER: Changes To Form ADV Go In Effect October 1st

Back in August 25, 2016, the Securities and Exchange Commission (the “SEC”) adopted rules to modernize and enhance the disclosure requirements promulgated under the Advisers Act […]

OCIE Risk Alert Observations from Cybersecurity Examinations

Based on observations and findings from its cybersecurity examinations, the SEC’s Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert on August 7. These observations were […]

Vigilant, the Global Compliance Leader, Announces the Opening of its London Office

October 1, 2012. Vigilant Compliance, LLC Announced today that it has opened a new Office in London, U.K. “This is an exciting milestone for Vigilant. […]

Vigilant Announces the Opening of its Boston Office

Vigilant Compliance, LLC announced on October 1, 2012 that it has opened a Boston Office. Vigilant, the largest Outsourced CCO firm, stated that the new […]