Tag: OCIE
OFAC, SEC Issue Guidance Related to Executive Order on Investments in Chinese Military Companies
OFAC has issued several FAQs related to an executive order that prohibits U.S. investors from investing in publicly traded securities of, securities that are derivative of, or securities that are designed to provide investment exposure to “Communist Chinese military companies.”
January 12, 2021
OCIE’s New Name: Division of Examinations
The SEC has given its Office of Compliance Inspections and Examinations (OCIE) a new name.
December 21, 2020
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).
December 17, 2020
The SEC brought and settled its first actions in connection with the Division of Enforcement’s Exchange-Traded Products Initiative.
November 17, 2020
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.”
September 23, 2020
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.
August 12, 2020
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.
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).
August 11, 2020
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.
July 13, 2020
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.
June 24, 2020
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