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Expert Advice

There we were, on July 22, talking about disciplinary history policy, and OCIE’s Sept. 12, 2016

08.07.19

Once again, the SEC has provided insight into exam deficiencies. This time, it’s regarding Reg S-P.

08.07.19

As a reminder, a “Risk Alert” is the Securities and Exchange Commission’s way of giving you a heads

07.03.19

Peter Driscoll, the Director of OCIE, spoke to attendees at an NRS Conference on April 29

06.05.19

Part 2: Testimonials Review of Part 1 — The Foundation In the first article of this series, we

06.05.19

Great performance tends to attract new investors, but performance alone is not enough to win or

06.05.19

On April 16, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) issued a Risk

05.01.19

The topic of advertising is one of the most challenging areas for CCOs. The challenge begins with

05.01.19

The Securities and Exchange Commission is proposing rules that would modify the registration,

04.03.19

In all my experience, working with CCOs as a compliance consultant, the one common sentiment they

04.03.19

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