The SEC speaks, and CCOs listen.
April 17, 2020
Tags: OCIE, Allison Herren Lee, Columns, Compliance Conference, Dalia Blass, Peter Driscoll, Rick Fleming, SEC Enforcement, Steven Peikin, Takeaways
New SEC Risk Alerts Detail Scope, Content of Compliance Exams for Form CRS, Reg BI
The SEC examination staff has issued a Risk Alert providing the expected scope and content of initial examinations for compliance with Form CRS.
April 07, 2020
OCIE has issued a statement announcing that because of health, safety, and firm operations disruption concerns, OCIE has moved to conducting examinations off-site through correspondence unless it is “absolutely necessary” for its teams to be on-site.
March 23, 2020
Tags: OCIE, Coronavirus, COVID-19
The SEC hopes to issue guidance on Regulation Best Interest and Form CRS later this month, OCIE Director Peter Driscoll told attendees at the IAA’s 2020 Investment Adviser Compliance Conference.
March 09, 2020
Tags: OCIE, Compliance Conference, Peter Driscoll, SEC Enforcement, Steven Peikin
While emphasizing that one size does not fit all, OCIE staff encourages investment advisers and others to reflect on their own cybersecurity practices and incorporate OCIE’s observations into their assessments.
January 28, 2020
Tags: OCIE, Cybersecurity
OCIE Publishes Examination Priorities for 2020
This year’s priorities for investment advisers carry over most of what OCIE prioritized in 2019 and generally reflect the key themes SEC examiners have been focused on in recent years.
January 24, 2020
Tags: OCIE, Peter Driscoll
SEC Announces Examination Priorities for 2020
The SEC’s Office of Compliance Inspections and Examinations (OCIE) has officially announced its examination priorities for 2020.
January 07, 2020
Tags: OCIE, Peter Driscoll
This Risk Alert focuses on funds, but its themes echo those in previous Risk Alerts relating to investment advisers.
November 25, 2019
Tags: OCIE, Investment Company, Money Market Fund, Risk Alert, Target Date Fund
SEC Names New Associate Director in OCIE’s Investment Adviser/Investment Company Examination Program
Natasha Vij Greiner has been named to a newly-created position in OCIE of Associate Director in OCIE’s investment adviser and investment company examination program.
November 25, 2019
Tags: OCIE