Tag: inspections

The Commission’s inspection staff – OCIE – issued an Alert about its national inspection program earlier this week, highlighting risk areas for investment advisers. Any adviser facing an inspection would do well to review the alert (here). That point is …

IA Sanctioned Based On Risk Areas In OCIE Alert Read More »

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A Risk Alert regarding its National Exam Program was issued by the SEC’s Office of Compliance Inspections and Examinations or OCIE. Drawing from its prior exam experience, OCIE identified five key areas of risk for investment advisers. Each point is …

SEC’s OCIE Issues Alert on Key Compliance Issues Read More »

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