Risk Alerts

The Division of Examinations regularly issues Risk Alerts to remind firms of their obligations under the federal securities laws and help them improve their systems, policies, and procedures. 

Title Date
Compliance Issues Related to Suspicious Activity Monitoring and Reporting at Broker-Dealers
Executive Order on Securities Investments that Finance Communist Chinese Military Companies
Observations From Examinations of Broker-Dealers and Investment Advisers: Large Trader Obligations
OCIE Observations: Investment Adviser Compliance Programs
Observations from OCIE’s Examinations of Investment Advisers: Supervision, Compliance and Multiple Branch Offices
Cybersecurity: Safeguarding Client Accounts against Credential Compromise
Select COVID-19 Compliance Risks and Considerations for Broker-Dealers and Investment Advisers*
Cybersecurity: Ransomware Alert
Observations From Examinations of Investment Advisers Managing Private Funds
Examination Initiative: LIBOR Transition Preparedness
Examinations That Focus on Compliance With Regulation Best Interest
Examinations That Focus on Compliance With Form CRS
Top Compliance Topics Observed in Examinations of Investment Companies and Observations from Money Market Fund and Target Date Fund Initiatives
Investment Adviser Principal and Agency Cross Trading Compliance Issues
Observations from Examinations of Investment Advisers: Compliance, Supervision, and Disclosure of Conflicts of Interest
Safeguarding Customer Records and Information in Network Storage – Use of Third Party Security Features
Investment Adviser and Broker-Dealer Compliance Issues Related to Regulation S-P - Privacy Notices and Safeguard Policies
Transfer Agent Safeguarding of Funds and Securities
Observations from Investment Adviser Examinations Relating to Electronic Messaging
Risk-Based Examination Initiatives Focused on Registered Investment Companies
Investment Adviser Compliance Issues Related to the Cash Solicitation Rule
Most Frequent Best Execution Issues Cited in Adviser Exams
Most Frequent Advisory Fee and Expense Compliance Issues Identified in Examinations of Investment Advisers
Observations from Municipal Advisor Examinations
The Most Frequent Advertising Rule Compliance Issues Identified in OCIE Examinations of Investment Advisers

Last Reviewed or Updated: June 28, 2024