Tag: OCIE

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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It is axiomatic that a registered investment adviser has a duty to maintain certain records. Equally fundamental is the fact that when the Commission’s Office of Inspections and Examinations or OCIE calls, the advisory firm has an obligation to produce …

After Failing to Permit OCIE Exams, Commission Files Action Read More »

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