Tag: inspections

The Commission’s Office of Compliance Inspections and Examinations or OCIE issued a Risk Alert on November 9, 2020 (here) centered on questions keyed to supervision and compliance in the context of multiple branch advisories. The alert is a combination of …

OCIE Observations on Supervision and Compliance for Branch Offices Read More »

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Inspections for compliance with Form CRS and its rules will begin after the June 30, 2020 filing date, according to an OCIE Risk Alert dated April 7, 2020 (here). The Alert identifies key areas the staff will be examining regarding …

OCIE, Form CRS and Inspections Read More »

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