Tag: Office of Compliance Inspections and Examinations (OCIE)
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…