Tag: Examinations
SEC’s Division of Examinations Releases Roadmap for Advisers that Invest Clients in Digital Assets
The SEC’s Division of Examinations has issued a new Risk Alert to assist firms in developing and enhancing their compliance practices related to digital securities and other distributed ledger assets.
March 01, 2021
Tags: FinTech, Digital Assets, Examinations, Risk Alert
Senior staff from several SEC Divisions and Offices joined together on November 19 to present a virtual, half-day CCO outreach event focused on investment adviser and investment company compliance issues.
November 24, 2020
Tags: CCO, Compliance, Examinations
SEC Examination Staff Issues Risk Alert on Adviser Compliance Programs
OCIE has issued a Risk Alert providing an overview of notable compliance issues identified in a sample of deficiency letters from recent adviser exams.
November 19, 2020
Tags: Compliance Policies, Examinations
The IAA provides links to web sites of other organizations in order to provide visitors with certain information. A link does not constitute an endorsement of content, viewpoint, policies, products or services of that web site. Once you link to another web site not maintained by the IAA, you are subject to the terms and conditions of that web site, including but not limited to its privacy policy.
Click the link above to continue or CANCEL
