Here you will find news and announcements for the Office of Compliance Inspections and Examinations.

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Date
Title
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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