IAA Today Archive

OFAC, SEC Issue Guidance Related to Executive Order on Investments in Chinese Military Companies

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January 12, 2021

Keywords:  OCIE, ETFs, Mutual Funds, SEC Examinations, Treasury Department

Categories & Topics: AML/OFAC, Compliance

OCIE’s New Name: Division of Examinations

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December 21, 2020

Keywords:  OCIE, SEC Examinations

Categories & Topics: Compliance, Examinations

OCIE Risk Alert Reminds Advisers of Large Trader Obligations

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December 17, 2020

Keywords:  OCIE, Risk Alert, Trading

Categories & Topics: Exchange Act/Treasury, Reporting

SEC Underscores Focus on Suitability of Placing Retail Clients in Complex Products With Enforcement Actions, Formal OCIE Statement

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November 17, 2020

Keywords:  OCIE, Compliance Policies, SEC Enforcement

Categories & Topics: Compliance, Compliance Programs

OCIE Warns of Increased Cybersecurity Attacks Involving “Credential Stuffing”

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September 23, 2020

Keywords:  OCIE, Cybersecurity, Risk Alert

Categories & Topics: Compliance, Cybersecurity/Privacy

OCIE Issues Risk Alert Relating to COVID-19 Compliance Risk

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August 12, 2020

Keywords:  OCIE, Coronavirus, COVID-19, Risk Alert

Categories & Topics: Compliance, Compliance Programs

SEC Staff Issues Statement on Form CRS Filings

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August 11, 2020

Keywords:  OCIE, Form CRS

Categories & Topics: Form ADV & CRS, Reporting

SEC Creates New Event and Emerging Risk Examination Team Within OCIE

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August 11, 2020

Keywords:  OCIE, Risk Management

Categories & Topics: Compliance, Examinations