Tag: OCIE
OCIE Publishes Examination Priorities for 2020
OCIE Publishes Examination Priorities for 2020 Updated January 24, 2020 The SEC’s Office of Compliance Inspections and Examinations (OCIE) recently issued its examination priorities for 2020. This year’s priorities...
January 24, 2020
Tags: OCIE, Peter Driscoll
SEC Announces Examination Priorities for 2020
SEC Announces Examination Priorities for 2020 January 7, 2020 The SEC’s Office of Compliance Inspections and Examinations (OCIE) has officially announced its examination priorities for 2020. The examination priorities...
January 07, 2020
Tags: OCIE, Peter Driscoll
OCIE Issues Risk Alert on Investment Company, Money Market Fund, and Target Date Fund Compliance Issues November 25, 2019 The SEC’s Office of Compliance Inspections and Examinations (OCIE) has published...
November 25, 2019
Tags: OCIE, Investment Company, Money Market Fund, Risk Alert, Target Date Fund
SEC Guidance on Reg BI, Form CRS Expected This Month, More to Follow Conflicts of Interest Disclosure Around Fees a Top Enforcement Priority March 9, 2020 The SEC hopes...
March 09, 2020
Tags: OCIE, Compliance Conference, Peter Driscoll, SEC Enforcement, Steven Peikin
New SEC Risk Alerts Detail Scope, Content of Compliance Exams for Form CRS, Reg BI
New SEC Risk Alerts Detail Scope, Content of Compliance Exams for Form CRS, Reg BI April 7, 2020 The SEC examination staff has issued a Risk Alert providing the...
April 07, 2020
OCIE Issues Risk Alert on Private Fund Adviser Exam Deficiencies
OCIE Issues Risk Alert on Private Fund Adviser Exam Deficiencies June 24, 2020 OCIE has issued a Risk Alert describing common deficiencies in exams of advisers to private equity and...
June 24, 2020
Tags: OCIE, Private Funds, Risk Alert
OCIE Warns of Increasingly Sophisticated Ransomware Attacks
OCIE Warns of Increasingly Sophisticated Ransomware Attacks July 13, 2020 The SEC’s examination staff has shared observations to assist investment advisers and others in enhancing their cybersecurity preparedness and...
July 13, 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
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
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