The Hedge Fund Law Report | OCIE 2017 Examination Priorities Illustrate Continued Focus on Conflicts of Interest

Following OCIE’s recent and detailed risk alert regarding the threat of ransomware, the SEC today announced that it has created the Event and Emerging Risk Examination Team (EERT) as a part of the Office of Compliance Inspections and Examinations (OCIE).  The EERT will engage with registrants regarding emerging threats and current market events, to provide […]

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On July 10, the SEC’s Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert noting the increasing sophistication of ransomware attacks on SEC registrants and service providers to SEC registrants.  The Risk Alert is notable for its encouragement of financial services market participants more broadly and not just SEC registrants to monitor CISA […]

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On January 28, 2020, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”)  released a detailed set of observations culled from thousands of examinations of registered investment advisers, broker-dealers, clearing agencies, national exchanges, and other SEC registrants (“Observations”).  These Observations represent the most detailed compilation of strategies and tools that OCIE has observed to promote […]

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