Risk Alert Archives

SEC Risk Alert on Selecting and Scoping Adviser Examinations

SEC staff has published a Risk Alert on how the SEC selects advisers to examine and determines the scope of risk areas to examine.

September 07, 2023

Tags: Examinations, Risk Alert

SEC Examination Division Weighs in on Digital Investment Advice

This article discusses the SEC’s current focus on digital investment advice, as well as the Division of Examination’s Risk Alert on Electronic Investment Advice.

April 28, 2022

Tags: Digital Advice, Risk Alert

Risk Alert Highlights Advisory Fee Calculations, Disclosures, Policies

A new Risk Alert showcases SEC examiners' findings on compliance issues around advisory fees. Examiners looked at overcharging, disclosure accuracy and adequacy, compliance program effectiveness, and accuracy of books and records.

November 12, 2021

Tags: Advisory Fees, Risk Alert, SEC Examinations

SEC Finds Wide Range of Compliance Issues in Digital Adviser Exams

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.

November 12, 2021

Tags: Digital Advice, Risk Alert, SEC Examinations

SEC Risk Alert Spotlights Deficiencies, Good Practices ID’d in RIC Exams

A new SEC Risk Alert reviews results of over 200 mutual funds and exchange-traded funds exams looking at impacts on retail investors.

November 12, 2021

Tags: Investment Company Act, Mutual Funds, Risk Alert, SEC Examinations

SEC’s Division of Examinations Releases Roadmap for Advisers that Invest Clients in Digital Assets

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...

March 01, 2021

Tags: FinTech, Digital Assets, Examinations, Risk Alert

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

Tags: OCIE, Risk Alert, Trading

OCIE Issues Risk Alert on Investment Company, Money Market Fund, and Target Date Fund Compliance Issues

OCIE Issues Risk Alert on Investment Company, Money Market Fund, and Target Date Fund Compliance Issues November 25, 2019 The SEC’s Office of Compliance Inspections and Examinations (OCIE) has published...

November 25, 2019

Tags: OCIE, Investment Company, Money Market Fund, Risk Alert, Target Date Fund

OCIE Issues Risk Alert on Private Fund Adviser Exam Deficiencies

OCIE Issues Risk Alert on Private Fund Adviser Exam Deficiencies June 24, 2020 OCIE has issued a Risk Alert describing common deficiencies in exams of advisers to private equity and...

June 24, 2020

Tags: OCIE, Private Funds, Risk Alert

OCIE Warns of Increasingly Sophisticated Ransomware Attacks

OCIE Warns of Increasingly Sophisticated Ransomware Attacks July 13, 2020 The SEC’s examination staff has shared observations to assist investment advisers and others in enhancing their cybersecurity preparedness and...

July 13, 2020

Tags: OCIE, Cybersecurity, Risk Alert

1 2 Next »

You are now leaving Investment Adviser Association

The IAA provides links to web sites of other organizations in order to provide visitors with certain information. A link does not constitute an endorsement of content, viewpoint, policies, products or services of that web site. Once you link to another web site not maintained by the IAA, you are subject to the terms and conditions of that web site, including but not limited to its privacy policy.

You will be redirected to

Click the link above to continue or CANCEL

IAA Today

You are now leaving Investment Adviser Association