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Iron Cove Blog

Check here for the latest Iron Cove Case Studies & Financial Services Related Blog Posts

2019 SEC OCIE Examination Priorities

Jan 25, 2019 12:17:15 PM

On December 20th, 2018, the SEC's Office of Compliance Inspections and Examinations (OCIE) announced its examination priorities. Particular emphasis will be on adviser fees and expenses as well as digital assets and cybersecurity. 

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Tags: Hedge Funds, Cyber & Privacy Liability, OCIE, Office of Compliance Inspections and Examinations, Private Equity, regulations, regulatory risk, Securities and Exchange Commission, Cyber Security

SEC OCIE Exam Priorities For 2018

Mar 14, 2018 3:39:32 PM

If you’re a fund manager, you’ll want to be in the know on 2018 SEC Priorities for the National Exam Program (“NEP”), which continues to advance in terms of data usage to analyze regulatory filings and trading activity. 

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Tags: insurance, directors and officers coverage, hedge funds, Iron Cove Partners, OCIE, Office of Compliance Inspections and Examinations, Private Equity, Professional Liability, regulations, regulatory risk, SEC, SEC Investigations, Examinations, Securities and Exchange Commission

SEC OCIE Risk Alert | Observations from Cybersecurity Examinations August 2017

Aug 9, 2017 3:03:10 PM

On August 7th, 2017, the Office of Compliance Inspections and Examinations ("OCIE") released its observations from its Cybersecurity 2 Initiative. The staff examined  75 firms consisting of broker-dealers, investment advisers, and investment companies ("funds") in order to assess industry practices and legal and compliance issues associated with cybersecurity preparedness.

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Tags: insurance, cyber, Cyber & Privacy Liability, Iron Cove, Lou D'Agostino, OCIE, Office of Compliance Inspections and Examinations, PII, Policies, Procedures, Regulation, Risk, SEC, Testing

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