SEC Releases Archives - Page 19 of 88

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 […]

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 […]

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 […]

SEC Proposed Exemption from Broker-Dealer Registration for Finders

On October 7th, the SEC released a public statement stating that the Commission has proposed to create a new exemption that will permit individuals to engage in traditional brokerage […]

Regulatory Framework for Fund of Funds Arrangements is Updated by the SEC

Starting today on October 7th, the Securities and Exchange Commission voted to adopt a new rule and related amendments to facilitate a comprehensive regulatory framework for […]

SEC Adopts Amendments to “Accredited Investor” Definition

On August 26th, the SEC made amendments to the “Accredited Investor” definition in attempts to modernize it. The definition is one of the principal tests to determine the eligibility […]

SEC Updates Filing Threshold to Rule 17h Reporting Requirements for Broker-Dealers

The SEC announced it has issued an order to update the filing threshold for broker-dealers Form 17-H Filings made pursuant to Exchange Act Rules 17h-1T […]

Private Fund Adviser and Investor OCIE Risk Alert

The OCIE, Office of Compliance Inspections and Examinations, released a Risk Alert concerning examinations of RIA’s that manage private equity funds or hedge funds. The […]

LIBOR Transition Preparedness

The OCIE announced the transition away from LIBOR as an examination program priority for FY 2020. LIBOR is formally known as the London Interbank Offered Rate and […]

SEC Whistleblower Payouts and What It Means for You

The SEC recently announced that they awarded the single largest individual reward ever – a $50 million whistleblower award to an individual who recorded misconduct by a […]

SEC DEFICIENCIES NOTED BY THE SEC

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SEC Releases an FAQ on COVID-19 Efforts

The FAQ that the SEC released encompasses their efforts and their impacts for firms and funds due to COVID-19. The questions are to their responses […]