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The OCIE is frequently asked about their findings in the examination process of RIAs that manage private equity funds or
The U.S. Securities and Exchange Commission (the “Commission”) recently published a series of proposed rule changes, including a change to
Quarantine doesn’t slow down suitability violations. FINRA is consistent in their review of unsuitable recommendations. Despite this being a hot
The SEC started an initiative a couple years ago ordering firms to turn themselves in if they had failed to
This is huge news. We haven’t seen this addressed since 1970. The proposal reflects the vast changes that have taken
On January 27th 2020 the Securities and Exchange Commission's Office of Compliance Inspections and Examinations (OCIE) issued examination observations related
Did you know that as of July 2019, the SEC has adopted Regulation Best Interest (Reg BI)? This new standard