Search results with tag "Of compliance inspections and examinations"
Risk Alert: The Most Frequent Advertising Rule Compliance ...
www.sec.govOct 28, 1986 · The Most Frequent Advertising Rule Compliance Issues . Identified in OCIE Examinations of Investment Advisers . I. Introduction . The Office of Compliance Inspections and Examinations (“OCIE”) is providing a list of compliance issues relating to Rule 206(4)-1 (the “Advertising Rule”) under the Investment Advisers Act of 1940 (the
Investment Adviser Principal and Agency Cross Trading ...
www.sec.govSep 04, 2019 · compliance issues identified by the Office of Compliance Inspections and Examinations (“OCIE”) ∗. related to principal trading and agency cross transactions under Section 206(3) of the Advisers Act, 1. which were identified in examinations of investment advisers. 2. Section 206(3) - Principal Trades
U.S. Securities and Exchange Commission’s Office of ...
d0.awsstatic.comExchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE). This document provides an overview of the OCIE Cybersecurity initiative, AWS relevant Service Provider features and controls,