Search results with tag "Risk alert"
Overview of the Most Frequent Advisory Fee and ... - SEC
www.sec.govThis Risk Alert is intended to highlight for firms risks and issues that OCIE staff has identified. In addition, this Risk Alert describes risks that firms may consider to (i) assess their supervisory, compliance, and/or other risk management systems related to these risks, and (ii) make any changes, as may be appropriate, to
The Division of Examinations’ Review of ESG Investing
www.sec.govCompliance Inspections and Examinations or OCIE (the “Division”). This Risk Alert is not a rule, regulation, or statement of the Securities and Exchange Commission (the “SEC” or the “Commission”). The Commission has neither approved nor disapproved the content of this Risk Alert. This Risk Alert has no legal force or effect: it does
2021 Examination Priorities Report - SEC
www.sec.gov2021 EXAMINATION PRIORITIES | 3 In addition to the cybersecurity recommendations in the COVID-19 Risk Alert, we published two cyber-specific risk alerts in conjunction with the Division’s heightened focus in this area since the onset of …
National Examination Risk Alert - SEC
www.sec.gov(“FINRA”) was also consulted in the preparation of this Risk Alert. This document was prepared by the SEC staff and is not legal advice. firms using social media should adopt, and periodically review the effectiveness of, policies and . 2 “Social media” is an umbrella term that encompasses various activities that integrate technology,
National Exam Program Risk Alert: Significant …
www.sec.govSEC-registered investment advisers with custody of client assets must comply with the custody rule. An adviser has custody if it or its related person holds, …
B Risk Alert - Law Society Library
www.lawlibrary.co.zaAs can be seen from graphs 1 – 4, the number and value of claims arising out of conveyancing transactions continues to increase year on year.
Risk Alert: The Most Frequent Advertising Rule Compliance ...
www.sec.govOct 28, 1986 · National Exam Program Risk Alert, The Five Most Frequent Compliance Topics Identified in OCIE Examinations of Investment Advisers, (Feb. 7, 2017). 3. OCIE conducted nearly 70 examinations under the Touting Initiative, which took place in 2016. 4. This Risk Alert does not address all types of deficiencies or weaknesses related to the Advertising ...
Risk Alert: Observations from Cybersecurity Examinations
www.sec.gov2 . examinations and highlights certain issues observed as well as certain policies and procedures that the staff believes may be effective. 4. II.