A new Risk Alert outlines compliance deficiencies SEC examiners discovered in an initiative focused on digital advisers. The exams looked at how firms were upholding their fiduciary duty to provide clear and adequate disclosure, among other things.
SEC’s Division of Examinations Releases Roadmap for Advisers that Invest Clients in Digital Assets March 1, 2021 Saying activities involved in the offer, sale, and trading of digital assets...
OCIE Warns of Increased Cybersecurity Attacks Involving “Credential Stuffing” September 23, 2020 The SEC’s Office of Compliance Inspections and Examinations (OCIE) has issued a Risk Alert on defenses against...
OCIE Issues Risk Alert Relating to COVID-19 Compliance Risk August 12, 2020 The SEC examination staff has issued a Risk Alert highlighting select COVID-19 compliance risks and considerations for SEC-registered...
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