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.
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
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.