Supplemental Documents/Handouts:
Articles
- IAA Newsletter - "Social Media in 2021 – Are Advisers Subject to the Old Rules or New Rules And What Then" (February 2021)
- NSCP Currents - "Why Advisory Fees and Expenses Remain a Continued Regulatory Focus" (January 2021)
- JLG Risk Management Tip - "How Risk Alerts Can Help You Prepare for Your Next Examination" (February 2019)
Risk Alerts
- OCIE Risk Alert - "Select COVID-19 Compliance Risks and Considerations for Broker-Dealers and Investment Advisers" (August 2020)
- OCIE Risk Alert - "Cybersecurity - Safeguarding Client Accounts Against Credential Compromise" (September 2020)
- OCIE Risk Alert - "Observations from OCIEs Examinations of Investment Advisers - Supervision, Compliance and Multiple Branch Offices" (November 2020)
- OCIE Risk Alert - "OCIE Observations - Investment Adviser Compliance Programs" (November 2020)
