OCIE

Subscribe to OCIE via RSS

SEC Identifies Most Frequent Compliance Issues Associated with Advertising by Investment Advisers

By Steve Quinlivan on 09/14/2017

…
Continue Reading SEC Identifies Most Frequent Compliance Issues Associated with Advertising by Investment Advisers

OCIE Issues Alert on the Five Most Frequent Compliance Topics Identified in Examinations of Investment Advisers

By Steve Quinlivan on 02/08/2017

…
Continue Reading OCIE Issues Alert on the Five Most Frequent Compliance Topics Identified in Examinations of Investment Advisers

SEC Exams Looking for Whistleblower Violations

By Steve Quinlivan on 10/24/2016

…
Continue Reading SEC Exams Looking for Whistleblower Violations

SEC 2016 Examination Priorities for Private Equity and Hedge Funds

By Steve Quinlivan on 01/14/2016

…
Continue Reading SEC 2016 Examination Priorities for Private Equity and Hedge Funds

SEC Exams to Focus on Sales of Retirement Products

By Steve Quinlivan on 06/22/2015

…
Continue Reading SEC Exams to Focus on Sales of Retirement Products

A Developing Trend: Heightened Scrutiny of Private Equity Fund Advisers

By Jack Bowling on 06/16/2014

…
Continue Reading A Developing Trend: Heightened Scrutiny of Private Equity Fund Advisers