March 30, 2022
SEC Division of Examinations Announces 2022 Examination Priorities
Compliance Inspections and Examinations
Jan. 27, 2022
Observations from Examinations of Private Fund Advisers
Compliance Inspections and Examinations
Nov. 10, 2021
Division of Examinations Observations: Investment Advisers’ Fee Calculations
Compliance Inspections and Examinations
Nov. 9, 2021
Observations from Examinations of Advisers that Provide Electronic Investment Advice
Compliance Inspections and Examinations
Oct. 26, 2021
Observations from Examinations in the Registered Investment Company Initiatives
Compliance Inspections and Examinations
July 21, 2021
Observations Regarding Fixed Income Principal and Cross Trades by Investment Advisers from an Examination Initiative
Compliance Inspections and Examinations
July 21, 2021
Observations from Examinations of Investment Advisers Managing Client Accounts That Participate In Wrap Fee Programs
Compliance Inspections and Examinations
April 9, 2021
The Division of Examinations’ Review of ESG Investing
Compliance Inspections and Examinations
March 29, 2021
Compliance Issues Related to Suspicious Activity Monitoring and Reporting at Broker-Dealers
Compliance Inspections and Examinations
March 3, 2021
SEC Division of Examinations Announces 2021 Examination Priorities
Compliance Inspections and Examinations
Feb. 26, 2021
The Division of Examinations’ Continued Focus on Digital Asset Securities
Compliance Inspections and Examinations
Jan. 6, 2021
Executive Order on Securities Investments that Finance Communist Chinese Military Companies
Compliance Inspections and Examinations
Dec. 16, 2020
Observations from Examinations of Broker-Dealers and Investment Advisers: Large Trader Obligations
Compliance Inspections and Examinations
Nov. 19, 2020
OCIE Observations: Investment Adviser Compliance Programs
Compliance Inspections and Examinations
Nov. 9, 2020
Observations from OCIE’s Examinations of Investment Advisers: Supervision, Compliance and Multiple Branch Offices
Compliance Inspections and Examinations
Sept. 15, 2020
Cybersecurity: Safeguarding Client Accounts against Credential Compromise
Compliance Inspections and Examinations
Aug. 12, 2020
Select COVID-19 Compliance Risks and Considerations for Broker-Dealers and Investment Advisers*
Compliance Inspections and Examinations
July 28, 2020
SEC Announces Creation of the Event and Emerging Risk Examination Team in the Office of Compliance Inspections and Examinations and the Appointment of Adam D. Storch as Associate Director
Compliance Inspections and Examinations
July 10, 2020
Cybersecurity: Ransomware Alert
Compliance Inspections and Examinations
June 23, 2020
Observations from Examinations of Investment Advisers Managing Private Funds
Compliance Inspections and Examinations