OCIE

Insights and guidance from ACA's team of experienced compliance and technology professionals.

Categories
Compliance alert
April 17, 2019

On April 16, the SEC's OCIE issued a risk alert detailing compliance issues from recent examinations of investment advisers and broker-dealers pertaining to privacy regulations.

February 21, 2019

ACA's John Jacobs recently contributed an article outlining what firms should know about the SEC's growing interest in the usage of emerging electronic messaging platforms and channels. 

January 30, 2019

Is your firm prepared for the SEC's new cyber focus areas for 2019? Find out what your firm needs to know, and what you can do to prepare.

December 17, 2018

On December 14, 2018, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) issued a Risk Alert outlining observations and recommendations gleaned by the staff from a limited examination sweep focused on firm and employee use of electronic communications. This article outlines what you need to know.

July 12, 2018

On November 9, 2015, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) issued a National Exam Program Risk Alert regarding advisers and funds that have retained an unaffiliated third party such as a consultant, contractor, or lawyer to serve as their outsource

March 1, 2018

Cybersecurity has been a top focus area for the U.S. Securities and Exchange Commission’s (“SEC”) Office of Compliance Inspections and Examinations (“OCIE”) for the past several years.

November 16, 2015

On November 9, 2015, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) issued a National Exam Program Risk Alert regarding advisers and funds that have retained an unaffiliated third party such as a consultant, contractor, or lawyer to serve as their outsource

September 16, 2015

On September 15, the SEC’s Office of Compliance Inspections and Examinations (OCIE) published a Risk Alert on the office’s 2015 Cybersecurity Examination Initiative.