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Searching Content indexed under Compliance by Robin M. Bergen ordered by Published Date Descending.
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SEC's OCIE Affiliate Transaction Risk Alert Highlights Pitfalls In Obtaining Effective Consent
On September 4, 2019, the SEC's Office of Compliance Inspections and Examinations ("OCIE") issued a Risk Alert addressing the most common compliance issues it identified in examinations of ...
United States
14 Oct 2019
2
SEC To Allow Settling Parties To Submit Simultaneous Settlement Offers And Applications For Waiver From Disqualifications
On July 3, SEC Chairman Jay Clayton issued a statement signaling a policy change in SEC settlements and the consideration of applications for waiver of collateral consequences flowing from those settlements, ...
United States
15 Jul 2019
3
SEC Privacy Risk Alert May Foreshadow Upcoming Reg S-P Enforcement Against Broker-Dealers, Investment Advisers
In the Risk Alert, OCIE indicated it had frequently identified deficiencies with regard to Firms' provision of adequate notice to their customers.
United States
20 Jun 2019
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