Search results with tag "Compliance inspections and examinations"
Overview of the Most Frequent Advisory Fee and Expense In ...
www.sec.govThe Office of Compliance Inspections and Examinations (“OCIE”) is providing a list of compliance issues relating to fees and expenses charged by SEC-registered investment advisers (“advisers”) that were the most frequently identified in deficiency letters sent to advisers.1
Risk Alert: The Most Frequent Advertising Rule Compliance ...
www.sec.govOct 28, 1986 · 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 “Advisers Act”). 2. These compliance issues were most frequently
U.S. Securities and Exchange Commission’s (SEC) Office of ...
d0.awsstatic.comCompliance Inspections and Examinations (OCIE) Cybersecurity Initiative audit guide has been designed by AWS to guide financial institutions, which are subject to SEC audits on the use and security architecture of AWS services.
Compliance Inspections and Examinations - SEC.gov
www.sec.govExamination staff continued to conduct reviews of selected larger broker-dealers’ internal controls, involving risk management, funding and liquidity, credit, and operations.