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OCIE Releases List of Common Investment Company, Money Market Fund, and Target Date Fund Compliance Issues
OCIE Releases List of Common Investment Company, Money Market Fund, and Target Date Fund Compliance Issues WHAT HAPPENED? On Nov. 7, 2019, the Office of Compliance Inspections and Examinations [...]
OCIE Warns of Cloud-Based Server Security Risks
OCIE Warns of Cloud-Based Server Security Risks WHAT HAPPENED? Last week, the Office of Compliance Inspections and Examinations (OCIE) discovered several security risks related to the storage of customer [...]
OCIE Warns Advisers and Broker-Dealers of Regulation S-P Compliance Issues
OCIE Warns Advisers and Broker-Dealers of Regulation S-P Compliance Issues WHAT HAPPENED? On April 16, 2019, the Office of Compliance Inspections and Examinations (OCIE) published a list of compliance [...]