SEC Announces Its 2019 Examination Priorities

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...

SEC Issues Risk Alert Dealing with Electronic Messaging

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...