by Ara Jabrayan | May 5, 2021 | RIA Compliance, SEC Cybersecurity
On April 21, 2021, the North American Securities Administrators Association (NASAA) published a report that reminds state-registered investment advisers of their obligation to guard against cyber-threats. The NASAA 2021 Investment Adviser Section Annual Report... by Ara Jabrayan | Apr 27, 2021 | Office of Compliance Inspections and Examinations (OCIE), RIA Compliance, SEC Cybersecurity, SEC Investment Adviser Compliance, SEC Rules, Uncategorized
2020 was a busy year for the SEC’s Office of Compliance Inspections and Examinations. On November 19, 2020, Peter Driscoll, Director of the SEC’s Office Compliance Inspections and Examinations (OCIE), gave a speech at the National Investment Adviser/Investment Company... by Ara Jabrayan | Sep 19, 2019 | Examination Priorities, Investment Adviser Representative, North American Securities Administrators Association (NASAA), Registered Investment Advisers (RIAs), RIA Compliance, SEC Cybersecurity, SEC Investment Adviser Compliance, State Investment Adviser Compliance
Sample data from state securities examiners is collected every two years and is reported voluntarily to The North American Securities Administrators Association’s (NASAA) Investment Adviser Operations Project Group. At its recent annual meeting, NASAA has recently... by Ara Jabrayan | Aug 22, 2019 | Investment Adviser Representative, Office of Compliance Inspections and Examinations (OCIE), Regulation S-P, RIA Compliance, RIA Compliance Policies, SEC Cybersecurity, SEC Investment Adviser Compliance, State Investment Adviser Compliance
On April 16, 2019, the SEC’s Office of Compliance Inspections and Examinations (OCIE) published a Risk Alert dealing with Regulation S-P, which is the Commission’s primary rule governing privacy notices and the safeguarding policies of Registered... 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 21, 2019 | Conflicts of Interest, Office of Compliance Inspections and Examinations (OCIE), Press Releases, RIA Compliance, Robo-Advisers, SEC Cybersecurity, SEC Investment Adviser Compliance, SEC Rules
Each year, the SEC’s Office of Compliance Inspections and Examinations (OCIE) publishes its priorities, and 2018 is no exception. On February 7, 2018, the SEC’s Office of Compliance Inspections and Examinations (OCIE) published its 2018 examination...
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