News & Insights: Enforcement

OCIE Risk Alert: common compliance program issues

OCIE released a Risk Alert outlining common compliance concerns among registered investment advisers. The list was compiled based on recent compliance examinations of advisers.

OCIE examiners report common branch office compliance deficiencies

The OCIE released a new Risk Alert outlining recent observations from examinations of SEC-registered investment advisers.

Does your firm include text messages in its recordkeeping?

If your firm conducts any business via text message, all electronic records should be maintained on a secure archival platform and be easily retrievable.

Are your firm’s electronic records secure by SEC standards?

In recent years, the SEC has heightened its emphasis on cybersecurity requirements for firms. Routine examinations now often involve in-depth requests for information on firms’ cyber and data security practices, which are areas of evolving risk for all market participants.

Newly Identified Compliance Risks Due to COVID-19: What You Should Know

The OCIE issued a Risk Alert that outlines new compliance risks stemming from the global pandemic. The SEC and OCIE have remained operational and have continued to initiate examinations, including routine examinations of investment advisers. 

SEC Proposes Changes to Form 13F

Proposed amendments to Form 13F reporting. The changes would affect the filing threshold for institutional advisers and several other requirements.

LIBOR Transition Compliance Risks

On June 18, 2020, the OCIE announced an exam initiative and issued a subsequent Risk Alert about LIBOR transition preparedness.

OCIE: Private Fund Risk Alert

The OICE, released a Risk Alert that outlines recently observed compliance issues among private fund advisers. Over a third of SEC-registered advisers manage private funds, marking them as a special focus for OCIE.

Firm Misused MNPI, Ordered to Pay $1 Million

On May 26, 2020, the United States Securities and Exchange Commission released documentation detailing an enforcement action against a Los Angeles private equity firm and registered investment adviser, Ares Management, for its misuse of material nonpublic information (MNPI).

Adviser Fined $60,000 for Custody Rule Violation

On May 22, 2020, the SEC published information on an enforcement action against a registered investment adviser. The firm was investigated, and subsequently disciplined by the SEC for violating the Custody Rule.

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