Search
Searching Content indexed under Compliance by Robert Sawyer ordered by Published Date Descending.
Links to Result pages
 
1  
 
Title
Country
Organisation
Author
Date
1
SEC OCIE Risk Alert Update: Supervision Of Disciplined Individuals
On July 23, 2019, the Securities and Exchange Commission's Office of Compliance Inspections and Examinations (OCIE) released
United States
21 Aug 2019
2
OCIE Issues Risk Alert On Compliance Deficiencies Relating To The Cash Solicitation Rule
On October 31, 2018, the Securities and Exchange Commission's Office of Compliance Inspections and Examinations (OCIE)
United States
14 Nov 2018
3
OCIE Issues Risk Alert On Compliance Issues For Advisory Fees And Expenses Practices
The Securities and Exchange Commission's Office of Compliance Inspections and Examinations (OCIE) recently released a Risk Alert summarizing the most frequent compliance ...
United States
30 May 2018
4
SEC Increases Performance Fee Thresholds
As noted in a previous alert, the Securities and Exchange Commission has now issued an Order, effective as of August 15, 2016 (the "Effective Date"), which amends SEC Rule 205-3...
United States
13 Jul 2016
5
SEC Waives Custody Rule Requirements For Certain Affiliated Sub-Advisers
Under the SEC Rule 206(4)-2, the "custody rule," registered investment advisers with custody of client funds or securities are required to take a number of steps designed to safeguard those client assets.
United States
27 May 2016
6
Possible Examination By SEC Of Exempt Reporting Advisers
In light of the above, ERAs may wish to evaluate their compliance policies and procedures to ensure their conformity with current legal and regulatory requirements.
United States
7 Dec 2015
7
OCIE Issues Risk Alert Relating To Outsourced Chief Compliance Officers
Based on the OCIE Staff's reviews of the firms' compliance policies and programs administered by outsourced CCOs, they noted the following as criteria for successful outsourcing of CCO responsibilities...
United States
20 Nov 2015
8
SEC To Recommend Additional Compliance Rules For Investment Advisers
The reviews would not replace examinations conducted by the Office of Compliance Inspections and Examinations ("OCIE"), but would supplement them in order to improve compliance by registered investment advisers.
United States
16 Nov 2015
9
Important Deadlines And Reminders For Investment Advisers, Exempt Reporting Advisers, Commodity Trading Advisors And Commodity Pool Operators
Advisers to funds of funds must deliver such statements within 180 days of the end of the fund’s fiscal year.
United States
29 Jan 2015
10
Important Dates And Reminders For Investment Advisers, Exempt Reporting Advisers, Commodity Trading Advisors And Commodity Pool Operators
All investment advisers registered with the Securities and Exchange Commission are required to review their compliance policies and procedures at least annually.
United States
4 Mar 2014
11
SEC Adopts Pay-to-Play Restrictions (Rule 206(4)-5)
On Wednesday June 30, 2010, members of the Securities and Exchange Commission (the "SEC") voted unanimously to approve new Rule 206(4)-5 (the "Rule") adopted under the Investment Advisers Act of 1940 (the "Advisers Act").
United States
26 Jul 2010
12
Senate Passes Final Wall Street Reform Legislation (The Dodd-Frank Act)
On July 15, 2010, the U.S. Senate (the "Senate") voted 60-39 to approve the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Bill").
United States
21 Jul 2010
Links to Result pages
 
1