Results 1 to 5 of 67
Most popular |Most recent

OCIE Warns of Increased ‘Credential Stuffing’ Cyberattacks on Investment Advisers, Broker-Dealers

USA - October 1 2020 The Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) has published a risk alert, warning...

Arielle Warshall Katz, Alan R. Friedman, Samantha V. Ettari.

SEC Proposes Amendments to Update Form 13F

USA - July 15 2020 The Securities and Exchange Commission (SEC) has recently proposed to amend the reporting threshold and make certain other changes to Form 13F. It...

David Yanvarashvili.

SEC Releases Risk Alert on Observations From Examinations of Investment Advisers Managing Private Funds

USA - July 8 2020 On June 23, the SEC’s Office of Compliance Inspections and Examinations (OCIE) released a risk alert (the Risk Alert) that identified three general...

George M. Silfen, Zachary Karlan, Ronald M. Feiman.

Certain Considerations Associated with a Limited Partner Default in a Private Equity Fund

USA - July 1 2020 Many public and private market participants predict the economic effects of the COVID-19 crisis will be long term and widespread. In this regard...

Zoe Sternberg.

OCIE Issues Risk Alert on Form CRS Compliance

USA - May 1 2020 With the compliance date of June 30, 2020 approaching for Form CRS and its related rules,1 the Office of Compliance Inspections and Examinations...

Michelle Park, David Yanvarashvili.