Tag: OCIE
OFAC, SEC Issue Guidance Related to Executive Order on Investments in Chinese Military Companies
OFAC has issued several frequently asked questions (FAQs) related to an executive order, discussed in an earlier IAA Today report, that prohibits U.S. investors from investing in publicly traded securities of, securities that are derivative...
January 12, 2021
Tags: OCIE, ETFs, Mutual Funds, SEC Examinations, Treasury Department
OCIE’s New Name: Division of Examinations
Pete Driscoll Director, Division of Examinations The SEC has given its Office of Compliance Inspections and Examinations (OCIE) a new name. It is now the Division of Examinations. In...
December 21, 2020
Tags: OCIE, SEC Examinations
OCIE Risk Alert Reminds Advisers of Large Trader Obligations
The SEC’s examination staff has shared observations to assist investment advisers and broker-dealers in complying with the Large Trader Rule (Rule 13h-1 under the Exchange Act). The Risk Alert issued...
December 17, 2020
Tags: OCIE, Risk Alert, Trading
Signaling an intention to focus on suitability of adviser and broker-dealer recommendations to place retail clients in complex products, the SEC on November 13 brought and settled its first actions...
November 17, 2020
Tags: OCIE, Compliance Policies, SEC Enforcement
OCIE Warns of Increased Cybersecurity Attacks Involving “Credential Stuffing”
The SEC’s Office of Compliance Inspections and Examinations (OCIE) has issued a Risk Alert on defenses against a cyber attack method called “credential stuffing” in which hackers take lists of...
September 23, 2020
Tags: OCIE, Cybersecurity, Risk Alert
OCIE Issues Risk Alert Relating to COVID-19 Compliance Risk
The SEC examination staff has issued a Risk Alert highlighting select COVID-19 compliance risks and considerations for SEC-registered investment advisers and broker-dealers identified through industry outreach efforts and consultation with...
August 12, 2020
Tags: OCIE, Coronavirus, COVID-19, Risk Alert
SEC Staff Issues Statement on Form CRS Filings
On July 27, the SEC staff published a statement regarding their initial observations on Form CRS filings. As of June 30th, investment advisers and broker-dealers have been required to file...
August 11, 2020
SEC Creates New Event and Emerging Risk Examination Team Within OCIE
In July, the SEC announced the creation of the Event and Emerging Risks Examination Team (EERT) in the Office of Compliance Inspections and Examinations (OCIE). According to the accompanying press...
August 11, 2020
Tags: OCIE, Risk Management
OCIE Warns of Increasingly Sophisticated Ransomware Attacks
The SEC’s examination staff has shared observations to assist investment advisers and others in enhancing their cybersecurity preparedness and operational resiliency against a recent spate of ransomware attacks. The new...
July 13, 2020
Tags: OCIE, Cybersecurity, Risk Alert
OCIE Issues Risk Alert on Private Fund Adviser Exam Deficiencies
OCIE has issued a Risk Alert describing common deficiencies in exams of advisers to private equity and hedge funds. The Risk Alert identifies key deficiencies found by OCIE staff under...
June 24, 2020
Tags: OCIE, Private Funds, Risk Alert
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