OCIE 2019 Examination Priorities Released
In a December 2018 press release, the SEC (Securities and Exchange Commission) announced the publication of the OCIE (Office of Compliance Inspections and Examinations) examination priorities for 2019.
CCO Buzz Podcast | Disclosures | Form ADV | Regulatory Examinations | Securities and Exchange Commission (SEC)
Episode 34: The Government Shutdown’s Impact on SEC Examinations
On episode 34 of the CCO Buzz we discuss the current state of the government, more so on the government shutdown and SEC Examinations. With no immediate solution in sight, we’re discussing the issues at hand with our very own CEO Michelle Jacko. … Read More
Trouble With Tokens Continues: ICO Issuers Settle SEC Registration Charges
Despite the Securities and Exchange Commission (SEC) toughening its regulation of virtual currencies and initial coin offerings, enforcement actions continue to be filed with increasing frequency.
SEC Publishes Risk-Based Examination Priorities for Registered Investment Companies
In an early November announcement, the Securities Exchange Commission (SEC) has publicized new exam initiatives that were announced in a recent risk alert by the Office of Compliance Inspections and Examinations (OCIE) concerning mutual funds and exchange-traded funds.
Episode 32: 2019 SEC OCIE Exam Priorities (Part 2)
On this episode of the CCO Buzz we discuss the on the newly released 2019 SEC Exam Priorities and consideration for CCO’s in 2019.
CCO Buzz Podcast | Cybersecurity | Regulatory Examinations | Securities and Exchange Commission (SEC)
Episode 31: 2019 SEC OCIE Exam Priorities (Part 1)
In this CCO Buzz we discuss the newly released 2019 SEC Exam Priorities, as part of a two part series.
SEC Charges Two Brokers with Defrauding Customers
In separate complaints, the Securities and Exchange Commission has charged two brokers, Emil Botvinnik of Florida and Jovannie Aquino of New York, with recommending excessive levels of short-term trades that appear to have generated lucrative commissions for the brokers, but … Read More
Fraud and Failure of Oversight: Elon Musk and Tesla Motors Settle SEC Charges
Fraudulent messaging that affects retail investment decisions come in many forms, but the applicable regulatory statutes apply across all circumstances. That includes the use of social media. On August 7, 2018, Elon Musk made the decision to publicly announce on … Read More
Cybersecurity Risks: OCIE and SEC Enforcement Division Focus Continues
Cybersecurity is becoming a greater priority each year for investment firms. Not only is the risk of attack increasing from a growing number of sources, but the level of potential damage to individual firms and the overall market also increases … Read More
Hamlin Capital Management, LLC — Cease-and-Desist Order and Remedial Sanctions Levied by SEC
Hamlin Capital Management, LLC, a New York-based investment adviser, has been charged by the Securities and Exchange Commission (SEC) with violations concerning cross-trading activity that favored particular client accounts over others. To be more specific, Hamlin improperly moved tax-exempt municipal … Read More