Tag: inspections

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 »

Tagged with: , ,

The reorganization of the Division of Enforcement which spawned the re-introduction of specialty groups was, in part, designed to focus the resources of the Division and increase efficiency and effectiveness. Three recently filed cases are an example of the results …

A PROACTIVE APPROACH TO ENSURE ADVISORS ADOPT PROCEDURES Read More »

Tagged with: , , ,