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Division of Exams Issues Risk Alert on Wrap Fee Accounts
Wrap fee programs can offer clients certainty concerning advisory and execution costs since the wrap …
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Cyber, Regulatory Risks Among Top Global D&O Risks in 2021
Global respondents ranked cyber attacks as the top liability concern in the eighth annual Directors …
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Fund Executives Charged with Misleading Investors Regarding Risks in Funds
According to the SEC’s complaint, LJM adopted a short volatility trading strategy that carried risks …
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OCIE Urges Vigilance on Oversight of Pandemic-Related Risks
“[M]arket volatility related to COVID-19 may have heightened the risks of misconduct in various areas …
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MFDF Webinar: Risk-based Governance and Reporting: SEC Looks for Boards to Focus on Pricing When it Matters Most
Join Deloitte partners as they highlight the impact of the SEC's new valuation rule proposal for …
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SEC Meets with Audit Firms to Discuss China, Emerging Markets Risk
The SEC released a statement on its continued dialogue with large U.S. audit firms regarding audit quality …
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OCIE Risk Alert Flags Deficiencies in Boards' 15(c) Processes
A Risk Alert from the SEC’s Office of Compliance Inspections and Examinations reflects the most often …
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Clearing Firm Charged with Failing to Establish, Maintain Adequate Risk Management Policies
The Options Clearing Corp. will undertake remedial efforts and pay $20 million in penalties to settle …
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OCIE Risk Alert Highlights Transfer Agent Deficiencies
The SEC’s Office of Compliance Investigations and Examinations released a risk alert covering examinations …
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OCIE Risk Alert Highlights Fee Inaccuracies, Valuation, Other Errors Worth Reviewing
The SEC’s Office of Compliance Investigations and Examinations recently issued a Risk Alert to highlight …
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SOX Requirement Targeted; Study Points to Risks of Weak Internal Controls
Criticism of the Sarbanes Oxley Act, enacted in the wake of the WorldCom and Enron scandals, has been …
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OCIE Risk Alert Highlights Cybersecurity Shortcomings; GAO Report Assesses SEC's Cyber Preparedness
The SEC’s Office of Compliance Inspections and Examinations issued a Risk Alert based on staff examinations …
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DERA Economist Discusses Market Fragility Concerns and Evolving Risks
In a recent speech, Scott W. Bauguess, the acting director and acting chief economist of the SEC’s Division …
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OCIE Issues Risk Alert on Global Cyberattack; Insurer Requirements Push Firms to Improve Cyber Security Practices
The SEC’s Office of Compliance Inspections and Examinations issued a risk alert last week, urging financial …
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OCIE Risk Alert Highlights Advisers' Frequent Compliance Shortcomings
The SEC’s Office of Compliance Inspections and Examinations recently issued a Risk Alert on five compliance …
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Forum Comment Letter on the SEC's Liquidity Risk Management and Swing Pricing Proposal
On January 13, 2016, the Forum submitted a comment letter in response to the PCAOB’s “Concept Release …