OFAC, SEC Issue Guidance Related to Executive Order on Investments in Chinese Military Companies
OFAC, SEC Issue Guidance Related to Executive Order on Investments in Chinese Military Companies Updated January 12, 2021 OFAC has issued several frequently asked questions (FAQs) related to an executive order, discussed...
January 12, 2021
OCIE’s New Name: Division of Examinations
OCIE’s New Name: Division of Examinations December 21, 2020 Pete DriscollDirector, Division of Examinations The SEC has given its Office of Compliance Inspections and Examinations (OCIE) a new name....
December 21, 2020
OCIE Risk Alert Reminds Advisers of Large Trader Obligations
OCIE Risk Alert Reminds Advisers of Large Trader Obligations December 17, 2020 The SEC’s examination staff has shared observations to assist investment advisers and broker-dealers in complying with the...
December 17, 2020
SEC Underscores Focus on Suitability of Placing Retail Clients in Complex Products With Enforcement Actions, Formal OCIE Statement November 17, 2020 Signaling an intention to focus on suitability of...
November 17, 2020
OCIE Warns of Increased Cybersecurity Attacks Involving “Credential Stuffing”
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...
September 23, 2020
OCIE Issues Risk Alert Relating to COVID-19 Compliance Risk
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...
August 12, 2020
SEC Creates New Event and Emerging Risk Examination Team Within OCIE
SEC Creates New Event and Emerging Risk Examination Team Within OCIE August 11, 2020 In July, the SEC announced the creation of the Event and Emerging Risks Examination Team...
August 11, 2020
SEC Staff Issues Statement on Form CRS Filings
SEC Staff Issues Statement on Form CRS Filings August 11, 2020 On July 27, the SEC staff published a statement regarding their initial observations on Form CRS filings. As...
August 11, 2020
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