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Insights

The OCIE’s latest Risk Alert makes it clear the SEC expects more from Chief Compliance Officers. The Risk Alert: OCIE Observations: Investment Adviser Compliance Programs describes the most commonly cited compliance rule deficiencies identified by the Office of Compliance Inspections and Examinations. The alert covers a range of topics from CCO authority to specific deficiencies with advisers’ policies and procedures.
New Risk Alert outlines common compliance failings23 November 2020The OCIE’s latest Risk Alert makes it clear the SEC expects more from Chief Compliance Officers. The Risk Alert: OCIE Observations: Investment Adviser Compliance Programs describes the most commonly cited compliance rule deficiencies identified by the Office of Compliance Inspections and Examinations. The alert covers a range of topics from CCO authority to specific deficiencies with advisers’ policies and procedures.
Final Rule seeks to harmonize and improve exempt offerings20 November 2020
OCIE Risk Alert – supervision, compliance and multi-branch offices19 November 2020
CPRA to expand privacy rights18 November 2020
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