by Ara Jabrayan | Aug 22, 2019 | Conflicts of Interest, Investment Adviser Representative, Office of Compliance Inspections and Examinations (OCIE), Registered Investment Advisers (RIAs), RIA Compliance Policies, SEC Investment Adviser Compliance, Supervision Initiative
On July 23, 2019, the SEC’s Office of Compliance Inspections and Examinations (OCIE) published a Risk Alert, which discussed its observations from examining firms that currently employ or previously employed supervised persons with a history of disciplinary... 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 | ADV Part 2B, Conflicts of Interest, Form ADV, Form U4, Investment Adviser Representative, RIA Compliance, RIA Compliance Policies, SEC Investment Adviser Compliance, State Investment Adviser Compliance
Registered Investment Advisers (RIAs) owe a duty to supervise persons associated with the firm with respect to activities performed on their behalf. In recent deficiencies letters, RIAs have been criticized for failing to adequately supervise their supervised persons,... 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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