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Division of Examinations Table

Date
Title
Date: Title: Denver Regional Office Compliance Outreach: Registration is now open for the in-person events to be held on October 24th (Denver) and October 26th (Salt Lake City).
Date: Title: Risk Alert: Investment Advisers: Assessing Risks, Scoping Examinations, and Requesting Documents
Date: Title: Risk Alert: Observations from Anti-Money Laundering Compliance Examinations of Broker-Dealers
Date: Title: Risk Alert: Examinations Focused on Additional Areas of the Adviser Marketing Rule
Date: Title: Risk Alert: Observations from Examinations of Investment Advisers and Investment Companies Concerning LIBOR-Transition Preparedness
Date: Title: Risk Alert: Safeguarding Customer Records and Information at Branch Offices
Date: Title: Risk Alert: Observations from Examinations of Newly-Registered Advisers
Date: Title: Observations from Broker-Dealer Examinations Related to Regulation Best Interest
Date: Title: Observations From Broker-Dealer and Investment Adviser Compliance Examinations Related to Prevention of Identity Theft Under Regulation S-ID
Date: Title: Observations Related to Regulation NMS Rule 606 Disclosures
Date: Title: Examinations Focused on the New Investment Adviser Marketing Rule
Date: Title: Recent Observations from Municipal Advisor Examinations
Date: Title: Investment Adviser MNPI Compliance Issues
Date: Title: SEC Division of Examinations Announces 2022 Examination Priorities
The SEC’s Division of Examinations announced its 2022 examination priorities, which includes a focus on private funds, environmental, social and governance (ESG) investing, retail investor protections, information security and operational resiliency, emerging technologies, and crypto-assets.
Date: Title: Observations from Examinations of Private Fund Advisers
Date: Title: Division of Examinations Observations: Investment Advisers’ Fee Calculations
Date: Title: Observations from Examinations of Advisers that Provide Electronic Investment Advice
Date: Title: Observations from Examinations in the Registered Investment Company Initiatives
Date: Title: Observations Regarding Fixed Income Principal and Cross Trades by Investment Advisers from an Examination Initiative
Date: Title: Observations from Examinations of Investment Advisers Managing Client Accounts That Participate In Wrap Fee Programs
Date: Title: The Division of Examinations’ Review of ESG Investing
Date: Title: Compliance Issues Related to Suspicious Activity Monitoring and Reporting at Broker-Dealers
Date: Title: SEC Division of Examinations Announces 2021 Examination Priorities
Date: Title: The Division of Examinations’ Continued Focus on Digital Asset Securities
Date: Title: Executive Order on Securities Investments that Finance Communist Chinese Military Companies
Date: Title: Observations from Examinations of Broker-Dealers and Investment Advisers: Large Trader Obligations
Date: Title: OCIE Observations: Investment Adviser Compliance Programs
Date: Title: Observations from OCIE’s Examinations of Investment Advisers: Supervision, Compliance and Multiple Branch Offices
Date: Title: Cybersecurity: Safeguarding Client Accounts against Credential Compromise
Date: Title: Select COVID-19 Compliance Risks and Considerations for Broker-Dealers and Investment Advisers*
Date: Title: SEC Announces Creation of the Event and Emerging Risk Examination Team in the Office of Compliance Inspections and Examinations and the Appointment of Adam D. Storch as Associate Director
Date: Title: Cybersecurity: Ransomware Alert
Date: Title: Observations from Examinations of Investment Advisers Managing Private Funds
Date: Title: Examination Initiative: LIBOR Transition Preparedness
Date: Title: Examinations that Focus on Compliance with Regulation Best Interest
Date: Title: Examinations that Focus on Compliance with Form CRS
Date: Title: OCIE Statement on Operations and Exams – Health, Safety, Investor Protection and Continued Operations are our Priorities
Date: Title: OCIE Cybersecurity and Resiliency Observations
Date: Title: SEC Office of Compliance Inspections and Examinations Announces 2020 Examination Priorities
Date: Title: Top Compliance Topics Observed in Examinations of Investment Companies and Observations from Money Market Fund and Target Date Fund Initiatives
Date: Title: Investment Adviser Principal and Agency Cross Trading Compliance Issues
Date: Title: Observations from Examinations of Investment Advisers: Compliance, Supervision, and Disclosure of Conflicts of Interest
Date: Title: Risk Alert: Safeguarding Customer Records and Information in Network Storage – Use of Third Party Security Features
Date: Title: Risk Alert: Investment Adviser and Broker-Dealer Compliance Issues Related to Regulation S-P - Privacy Notices and Safeguard Policies
Topic: A list of compliance issues related to Regulation S-P, the primary SEC rule regarding privacy notices and safeguard policies of investment advisers and broker-dealers
Date: Title: Transfer Agent Safeguarding of Funds and Securities
Topic: This Risk Alert highlights some of the risks and issues associated with paying agent activities, identifies significant exam deficiencies related to the safeguarding of funds and securities by paying agents, and provides a listing of some common features of robust safeguarding policies, procedures, and controls for paying agents.
Date: Title: SEC Office of Compliance Inspections and Examinations Announces 2019 Examination Priorities
Date: Title: Observations from Investment Adviser Examinations Relating to Electronic Messaging
Topic: The purpose of this Risk Alert is to remind advisers of their obligations when their personnel use electronic messaging and to help advisers improve their systems, policies, and procedures by sharing the OCIE staff’s observations from these examinations.
Date: Title: Risk-Based Examination Initiatives Focused on Registered Investment Companies
Topic: OCIE is conducting a series of examination initiatives focused on matters relevant to certain registered investment companies.
Date: Title: Risk Alert: Investment Adviser Compliance Issues Related to the Cash Solicitation Rule
Topic: The most common issues related to the Cash Solicitation Rule identified in deficiency letters sent to investment advisers.
Date: Title: Risk Alert: Most Frequent Best Execution Issues Cited in Adviser Exams
Topic: The most frequent advisory fee and expense compliance issues identified in deficiency letters sent to SEC-registered investment advisers.
Date: Title: Risk Alert: Most Frequent Advisory Fee and Expense Compliance Issues Identified in Examinations of Investment Advisers
Date: Title: SEC Office of Compliance Inspections and Examinations Announces 2018 Examination Priorities
Date: Title: Risk Alert: Observations from Municipal Advisor Examinations
Date: Title: SEC Names Peter B. Driscoll as Director of the Office of Compliance Inspections and Examinations
Date: Title: Risk Alert: The Most Frequent Advertising Rule Compliance Issues Identified in OCIE Examinations of Investment Advisers
Date: Title: Observations from Cybersecurity Examinations (PDF)
Date: Title: Risk Alert: Cybersecurity: Ransomware Alert (PDF)
Date: Title: Risk Alert: The Five Most Frequent Compliance Topics Identified in OCIE Examinations of Investment Advisers
Date: Title: OCIE Announces 2017 Examination Priorities
Date: Title: Risk Alert: Multi-Branch Adviser Initiative (PDF)
Date: Title: Risk Alert: Examining Whistleblower Rule Compliance (PDF)
Date: Title: Marc Wyatt Delivers Keynote Address at National Society of Compliance Professionals 2016 National Conference, Washington, D.C.
Date: Title: Risk Alert: Examinations of Supervision Practices at Registered Investment Advisers (PDF)
Date: Title: Kristin Snyder Named Co-Head of SEC’s Investment Adviser/Investment Company Examination Program
Date: Title: OCIE’s 2016 Share Class Initiative (PDF)
Date: Title: SEC to Hold National Compliance Outreach Seminar for Investment Companies and Investment Advisers
Date: Title: Robert M. Fisher Named Managing Executive of the Office of Compliance Inspections and Examinations
Date: Title: SEC Announces Creation of Office of Risk and Strategy for its National Exam Program
Date: Title: Daniel Kahl Named as Chief Counsel of National Exam Program
Date: Title: SEC Names Jane Jarcho as Deputy Director of National Exam Program
Date: Title: OCIE Announces 2016 Examination Priorities
Date: Title: Marc Wyatt Named Director of the Office of Compliance Inspections and Examinations
Date: Title: Risk Alert: Examinations of Advisers and Funds That Outsource Their Chief Compliance Officers (PDF)
Risk Alert: OCIE Staff Observations from Examinations of Advisers and Funds That Outsource Their Chief Compliance Officers, November 9, 2015
Date: Title: OCIE’s 2015 Cybersecurity Examination Initiative (PDF)
2015 Cybersecurity Examination Initiative Risk Alert from SEC's National Exam Program
Date: Title: Risk Alert: Broker-Dealer Controls Regarding Retail Sales of Structured Securities Products
Date: Title: Risk Alert: Retirement-Targeted Industry Reviews and Examinations Initiative
Date: Title: SEC and FINRA to Hold National Compliance Outreach Program for Broker-Dealers
Date: Title: SEC Announces Outreach Programs to Help Firms Comply With Regulation Systems Compliance and Integrity
Date: Title: SEC Announces Compliance Outreach Program Seminars for Investment Adviser and Investment Company Senior Officers
Date: Title: Risk Alert: OCIE’s Never-Before-Examined Registered Investment Company Initiative
Date: Title: OCIE-FINRA Report on National Senior Investor Initiative
Date: Title: Risk Alert "OCIE Launching Cybersecurity Preparedness Initiative" (PDF)
Date: Title: Letter to Never-Before Examined Investment Advisers
Date: Title: Risk Alert “Investment Adviser Due Diligence Processes for Selecting Alternative Investments and their Respective Managers”
Date: Title: 2014 Examination Priorities
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