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 | 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 | Apr 26, 2021 | accredited investor, SEC Rules
On August 26, 2020, the SEC expanded the definition of “accredited investor,” which is one of the primary tests for determining who is eligible to participate in private capital markets. The SEC’s final rule can be found HERE. According to Chairman Jay Clayton of the... 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...
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