Tag: advisers

A Risk Alert was published by the the Office of Inspections and Examinations or OCIE, alerting Investment Advisers of managed private funds to key issues that have arisen in prior examinations. The Alert highlights a series of deficiencies, some of …

OCIE Risk Alert – An Aid to Proper Compliance Read More »

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Adviser advertising has been a key focus of the Commission. This is true for both OCIE and Enforcement. OCIE has issued alerts on the subject; Enforcement has filed settled enforcement actions. In many instances, the issues revolve around marketing materials …

Adviser Pays $1.9 Million SEC Penalty For False Ads Read More »

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