Tag: Office of Compliance Inspections and Examinations (OCIE)
Best Execution | Cash Solicitation Rule | Compliance Programs | Conflicts of Interest | Cybersecurity | Examinations and Audits | Investment Advisers Act | Investment Company Act | Liquidity | Mutual Funds | Private Investment Funds | Share Class Selection Disclosure | Testing
Eleven Key Takeaways for Updating your Compliance Program in 2019: Investment Advisers, Mutual Funds, Hedge Funds and Private Equity Funds
Photo by NordWood Themes on Unsplash Cari Hopfensperger, Senior Compliance Consultant, co-wrote this article. Based on regulatory developments from 2018, here are our suggestions for updates to your compliance program for 2019. Conflict…
Best Execution | Cash Solicitation Rule | Chief Compliance Officer | Compliance Programs | Conflicts of Interest | Custody | Cybersecurity | Disclosures | Examinations and Audits | Mutual Funds | Private Equity Funds
SEC’s Top Eleven Hits: Investment Adviser Regulatory Review 2018
Photo by Mark Duffel on Unsplash The SEC’s regulatory actions in 2018 involved few surprises but still managed to challenge investment advisers. In reviewing the SEC’s activity over the past 12 months, I…
Cash Solicitation Rule | Disclosures | Hedge Funds | Private Equity Funds | Referrals | SEC Risk Alert
12 Things You Need to Know about Adviser Referral Arrangements and the Cash Solicitation Rule
OCIE recently issued a Risk Alert on common exam deficiencies in complying with the Cash Solicitation Rule, Rule 206(4)-3, of the Advisers Act. It is not surprising that OCIE decided…
Compliance Programs | Department of Labor | Fiduciary | Investment Advisers Act | Private Investment Funds
DOL Crack Down, SEC Smackdown and Whistleblowers Double Down: 2016 Regulatory Review
The SEC was especially busy in 2016, bringing a record number of enforcement cases, churning out guidance and risk alerts, and issuing new rules and amendments. In reviewing the past…
Custody | Examinations and Audits | Form ADV
Advisers May Have Custody and Not Even Know it….
SEC exam staff has been finding a deficiency where most advisers don’t expect it. Recent SEC exams of registered investment advisers have included scrutiny of the standard custody arrangements that…
Anti-Money Laundering | Business Continuity and Disaster Recovery | Code of Ethics | Compliance Program Rule, Rule 206(4)-7 | Compliance Programs | Form ADV | Investment Advisers Act | IT Compliance | Patriot Act | SEC News
2015 Regulatory Review for Investment Advisers, Hedge Funds and Private Equity Funds Part 1 of a 2 Part series
November 10, 2015 By: Jaqueline M. Hummel, Managing Director Toward the end of the year, I take an inventory of the changes to the SEC’s regulatory landscape in the past…