Resource List: Common Deficiencies
May 16, 2024
-
Compliance
- Risk Alert IA Compliance Programs.pdf (sec.gov) Observations: Investment Adviser Compliance Programs (November 19, 2020)
- Risk Alert: The Five Most Frequent Compliance Topics Identified in OCIE Examinations of Investment Advisers (sec.gov) (February 7, 2017)
- OCIE Risk Alert - Supervision Initiative.pdf (sec.gov) Observations from Examinations of Investment Advisers: Compliance, Supervision, and Disclosure of Conflicts of Interest (July 23, 2019)
- Risk Alert - Multi-Branch Risk Alert.pdf (sec.gov): Observations from OCIE’s Examinations of Investment Advisers: Supervision, Compliance and Multiple Branch Offices (November 9, 2020)
-
Form ADV
-
Advisory Fees
- exams-risk-alert-fee-calculations.pdf (sec.gov) Observations: Investment Advisers’ Fee Calculations (November 10, 2021)
- Risk Alert: Most Frequent Advisory Fee and Expense Compliance Issues Identified in Examinations of Investment Advisers (April 12, 2018)
-
Marketing
- SEC.gov | Marketing Compliance Frequently Asked Questions
- Final Exams Risk Alert Marketing Observation (sec.gov) (April 17, 2024)
- Risk Alert: Examinations Focused on Additional Areas of the Adviser Marketing Rule (sec.gov) (June 8, 2023)
- exams-risk-alert-marketing-rule.pdf (sec.gov) (September 19, 2022)
-
Custody
-
Portfolio Management: Share Classes
-
Private Funds
- Private Fund Risk Alert_0.pdf (sec.gov) Observations from Examinations of Investment Advisers Managing Private Funds (June 23, 2020)
-
Broker-Dealer Topics
- risk-alert-aml-compliance-examinations-bd-073123.pdf (sec.gov): Observations from Anti-Money Laundering Compliance Exams of Broker-Dealers (July 31, 2023)
- Risk Alert: Safeguarding Customer Records and Information at Branch Offices (sec.gov): Safeguarding Customer Records and Information at Branch Offices (April 26, 2023)
- exams-reg-bi-alert-13023.pdf (sec.gov): Observations from Broker-Dealer Examinations Related to Regulation Best Interest (January 30, 2023)
- aml-risk-alert.pdf (sec.gov): Compliance Issues Related to Suspicious Activity Monitoring and Reporting at Broker-Dealers (March 29, 2021)
- Risk Alert- Regulation Best Interest Exams.pdf (sec.gov): Examinations that Focus on Compliance with Regulation Best Interest (April 7, 2020)
- Risk Alert - Form CRS Exams.pdf (sec.gov): Examinations that Focus on Compliance with Form CRS (April 7, 2020)
- SEC.gov | List of Frequently Asked Questions: Various Broker-Dealer Related FAQs
Last Reviewed or Updated: May 22, 2024