ocie

    sec

    time 5 minute read

    Risk Alert: The SEC continues to focus on Digital Asset Securities

    On February 26, the SEC’s Division of Examinations (the “Division,” formerly known as the Office of...

    compliance

    time 3 minute read

    OCIE Director Stresses Importance of CCO Empowerment, Seniority and Authority

    In his opening remarks at the National Investment Adviser/Investment Company Compliance Outreach...
    SEC Risk Alert

    compliance

    time 3 minute read

    SEC Warns RIAs About Compliance Rule Deficiencies & Weaknesses

    The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) published a risk alert on...
    SEC Risk Alert

    compliance

    time 5 minute read

    Multi-Branch Initiative Offers Advice to RIAs on Compliance and Supervision

    The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) published a risk alert on...

    sec

    time 2 minute read

    Mock Examinations Can Help You Find a Way Out Of Your Compliance Problems

    In an episode of the West Wing television series from the year 2000, Leo McGarry, the President’s...
    mock exams

    sec

    time 3 minute read

    Mock Examinations Can Make Real Exams Less Scary

    If there’s anything scarier at Halloween than the classic 80’s horror films featuring Jason...
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    Risk Alert: The SEC continues to focus on Digital Asset Securities

    Stacy Howell-Pereira | Mar 2, 2021 8:00:00 AM

    OCIE Director Stresses Importance of CCO Empowerment, Seniority and Authority

    Les Abromovitz | Dec 15, 2020 7:15:00 AM

    SEC Warns RIAs About Compliance Rule Deficiencies & Weaknesses

    Les Abromovitz | Nov 24, 2020 6:45:00 AM

    Multi-Branch Initiative Offers Advice to RIAs on Compliance and Supervision

    Les Abromovitz | Nov 18, 2020 6:15:00 AM

    Mock Examinations Can Help You Find a Way Out Of Your Compliance Problems

    Les Abromovitz | Nov 17, 2020 7:45:00 AM

    Mock Examinations Can Make Real Exams Less Scary

    Les Abromovitz | Oct 27, 2020 10:15:00 AM

    SEC Risk Alert Provides Valuable Information to Private Fund Advisors

    Les Abromovitz | Jul 7, 2020 7:30:00 AM

    Risk Alert - Form CRS and SEC Examinations

    Kerry Rider | Apr 13, 2020 8:08:19 AM

    What Lessons About Business Continuity Plans Will RIAs Learn from the Pandemic?

    Les Abromovitz | Mar 24, 2020 7:15:00 AM

    This article is not a solicitation of any investment product or service to any person or entity.
    The content contained in this article is for informational use only and is not intended to be and is not a substitute for professional financial, tax or legal advice.