SEC Releases

EXAMS Provides a Risk Alert on their Review of ESG Investing

On April 9th, 2021 the Division of Examinations (EXAMS) released a Risk Alert on their Review of ESG Investing. Recently, there has been increasing investor […]

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Division of Examinations Provides a Risk Alert Regarding AML Requirements

On Monday (March 29th, 2021) the Division of Examinations (“EXAMS”) released a Risk Alert regarding examinations they conducted from Broker-Dealers and Mutual Funds on their compliance with AML […]

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SEC Ad Rule gets an Official Date in Effect for May 4th

After awaiting an announcement regarding when the Ad Rule will take effect from the delay that was given by the White House we now have a set […]

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Division of Examinations Announces 2021 Examination Priorities

The SEC’s Division of Examinations announced its 2021 examination priorities on March 3rd, which highlights a greater focus on climate-related risks. It is important to note […]

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Division of Examinations Addressed the Threat from Securities Associated with Chinese Military Companies

The Division of Examinations (formerly known as OCIE) released a Risk Alert on Wednesday (1/6/21) notifying Investment Advisers, Broker-Dealers, and other market participants to investments in […]

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SEC Adopts Modernized Marketing Rule for Investment Advisers

The SEC just released an important announcement today (12/22) stating that it has finalized reforms under the Investment Advisers Act to modernize rules that govern investment […]

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SEC Risk Alert: OCIE Examines Broker-Dealers And Investment Advisers

The SEC came out with a Risk Alert yesterday (12/17) regarding Observations from Examinations of Broker-Dealers and Investment Advisers (Large Trader Obligations). Here are some expectations from this […]

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Framework For Fund Valuation Practices: Rule 2a-5

The SEC made an announcement today (12/03) stating that they have adopted a new rule (2a-5) that establishes an updated regulatory framework for fund valuation […]

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The Role of the CCO

OCIE’s Director Pete Driscoll, yesterday spoke at the SEC’s outreach program, sharing his views of the role of an Adviser’s CCO. In addition, on November […]

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OCIE Risk Alert: Investment Advisor Compliance Programs

Today, November 19th, 2020, The Office of Compliance Inspections and Examinations (“OCIE”) released a Risk Alert for Investment Advisor Compliance Programs noting significant compliance issues related to Rule […]

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OCIE’s Examinations of Investment Advisers: Supervision, Compliance and Multiple Branch Offices

The Office of Compliance Inspections and Examinations (OCIE) conducted examinations focusing on SEC-registered investment advisers operating from multiple branch offices and with operations geographically dispersed from the […]

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How to Define the Parameters of Personal Liability for Compliance Officers

Due to the impact of COVID-19 it has created an increasingly difficult regulatory environment with complications for Compliance Professionals. Throughout this impact of the COVID-19 pandemic […]

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