by Ara Jabrayan | Apr 27, 2021 | Investment Advisers Act, Office of Compliance Inspections and Examinations (OCIE), SEC Rules
On November 19, 2020, the SEC’s Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert dealing with the Compliance Rule. OCIE’s Risk Alert discussed deficiencies and weaknesses identified by examiners. The Risk Alert reported that violations of... by Ara Jabrayan | Dec 23, 2019 | Cherry-Picking, Conflicts of Interest, Division of Investment Management News, Examination Priorities, Improper Share Class Selection, Investment Advisers Act, Registered Investment Advisers (RIAs), RIA Compliance, RIA Compliance Policies, SEC Investment Adviser Compliance, SEC Rules, Supervision Initiative, Uncategorized
On December 19, 2019, the SEC filed a complaint in federal court against a Sacramento, California-based investment advisory firm and its owner. The complaint alleged that the Registered Investment Adviser (RIA) and its owner defrauded hundreds of retail clients, most... by Ara Jabrayan | Aug 22, 2019 | 12b-1 Fees, Conflicts of Interest, Fiduciary Duty, Improper Share Class Selection, Investment Adviser Representative, Investment Advisers Act, Office of Compliance Inspections and Examinations (OCIE), RIA Compliance, RIA Compliance Policies, SEC Investment Adviser Compliance, SEC Rules, Share Class Selection, State Investment Adviser Compliance
Investment advisers may have noticed the SEC’s recent Share Class Selection Disclosure Initiative and thought they had nothing to learn from the 79 enforcement actions. The reality is that even investment advisers who are not affiliated with a broker-dealer can... by Ara Jabrayan | Aug 22, 2019 | Examination Priorities, Investment Adviser Representative, Investment Advisers Act, Office of Compliance Inspections and Examinations (OCIE), Press Releases, RIA Compliance, RIA Compliance Policies, SEC Cybersecurity, SEC Investment Adviser Compliance, SEC Rules, State Investment Adviser Compliance
The SEC’s Office of Compliance Inspections and Examinations (OCIE) publishes annually its examination priorities to promote transparency and provide insights into the areas it believes pose a heightened risk to investors or to the integrity of the U.S. capital... by Ara Jabrayan | Aug 22, 2019 | Investment Adviser Representative, Investment Advisers Act, Office of Compliance Inspections and Examinations (OCIE), RIA Compliance, RIA Compliance Policies, SEC Investment Adviser Compliance, SEC Rules, State Investment Adviser Compliance
Risk Alerts are designed to remind investment advisers of their compliance obligations and to help firms improve their systems, policies, and procedures. On December 14, 2018, the SEC’s Office of Compliance Inspections and Examinations (OCIE) published a Risk... by Ara Jabrayan | Aug 22, 2019 | Investment Advisers Act, Office of Compliance Inspections and Examinations (OCIE), RIA Compliance, RIA Compliance Policies, SEC Investment Adviser Compliance, Solicitation, State Investment Adviser Compliance
The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) periodically publishes Risk Alerts to highlight compliance problems discovered during examinations. On October 31, 2018, OCIE circulated a Risk Alert that analyzes compliance issues...
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