Year: 2020

The SEC’s Office of Compliance Inspections and Examinations published a series of observations gleaned from hundreds of exams over a period of years. While OCIE’s charge is the inspection of registered investment entities, the observations of the exam staff offer …

Cybersecurity: Key Observations From OCIE Read More »

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Last week it was a marijuana firm licensed under the laws of Washington State. This week it is federal tax credits tied to energy. Next week it may be crypto currency. There is a seemingly endless variety of businesses that …

Phony Tax Credits Are The Center of an Offering Fraud Case Read More »

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