Our CEO Michelle Jacko’s article, “How Risk Alerts Can Help You Prepare for Your Next Examination,” was featured in the March 2019 edition of the Wolters Kluwer: Practical Compliance & Risk Management for the Securities Industry.
On episode 33 of the CCO Buzz we discuss the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (“OCIE”) recent published National Exam Program Risk Alert titled, ” Observations from Investment Adviser Examination Relating to Electronic Messaging.”
As the awareness and popularity of cryptocurrencies increase, so do the instances of fraud and dishonest behavior associated with their trade, which is evidenced by the recent Securities and Exchange Commission (SEC) Investor Alert on the subject. In this alert, … Read More
On this week’s episode of the CCO Buzz we have Lead Senior Compliance Consultant Tina Mitchell. She provides a few helpful considerations for firms to keep top of mind as they prepare for Q4 and the upcoming new year. She … Read More
Among a variety of other requirements, investment advisers have a fiduciary duty to seek the best available execution for each client’s trades at the most favorable prices possible under current market conditions.
Michelle Jacko discusses key takeaways from the OCIE’s recent Risk Alert on Advisory Fee Expense Issues.
Last week, the Securities and Exchange Commission’s (“SEC”) Office of Compliance Inspections & Examinations issued a new Risk Alert titled, “The Most Frequent Advertising Rule Compliance Issues Identified in OCIE Examinations of Investment Advisers” which was generated as a result … Read More
The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) has been issuing written Risk Alerts since 2011 that outline areas the SEC believes carry high risks for broker-dealers and investment advisers. The areas covered in these alerts have included:
On July 13, 2016, the Securities and Exchange Commission (“SEC”), through their Office of Compliance Inspections and Examinations (“OCIE”), issued a Risk Alert outlining their exam initiative on risks and conflicts pertaining to investment adviser recommendations of mutual funds and … Read More
Over the last year, cybersecurity has been a top focus for the Securities and Exchange Commission (“SEC”) prompting them to issue various guidance to financial firms in the way of risk alerts and guidance statements, and to investors via investor … Read More