The SEC believes that investment advisers, including pension consultants, are increasingly recommending that their clients invest a portion of their portfolios in private alternative investment funds. In light of that trend,...more
Following closely on the heels of FINRA’s publication of its examination priorities for 2014 (see our recent client alert), OCIE’s National Exam Program (NEP) released a summary of its 2014 priorities. OCIE’s priorities...more
Two Halloween announcements by securities regulators may frighten investment advisers. The October 31 statements from the SEC and the North American Securities Administrators Association (NASAA) suggest that federal and...more
In an attempt to “increase transparency, strengthen compliance, and inform the public and the financial services industry about key risks,” the SEC’s Office of Compliance Inspections and Examinations (OCIE) published its 2013...more
2/25/2013
/ Broker-Dealer ,
Conflicts of Interest ,
Corporate Governance ,
Enterprise Risks ,
Fund Distribution ,
Investment Adviser ,
NEP ,
OCIE ,
Revenue Sharing ,
Risk Management ,
Securities and Exchange Commission (SEC)