May 11, 2023
The SEC Division of Examinations issued a Risk Alert on April 26, 2023, regarding weaknesses observed at branch office locations of investment advisers and broker dealers.
Author: Jackie Hallihan
September 8, 2022
By Jacqueline Hallihan, Co-Executive DirectorCompliance Services, Part of Confluence The Securities and Exchange Commission (SEC) is seeking public comment on…
January 7, 2022
The following blog post was written by Jackie Hallihan, Executive Director of Compliance Services, and Matt Calabro, Director Institutional Services,…
July 15, 2021
The SEC announced that Peter Driscoll, the Director of the Division of Examinations, will leave the SEC on August 14,…
March 25, 2021
Peter Driscoll, Director of the SEC’s Division of Examinations, told attendees at the Investment Adviser Association meeting March 4, 2021…
February 11, 2021
It’s almost mid-February, and we’ve come out of the January haze. Now we have a bit more information on where…
December 2, 2020
SEC’s Office of Compliance Inspections and Examinations Cites Inadequate Compliance Programs On December 1, 2020, CSS hosted a discussion with…
August 12, 2020
The SEC’s “Office of Compliance Inspections and Examinations (“OCIE”) issued an Alert today regarding “Select COVID-19 Compliance Risks for Investment…
July 30, 2020
The SEC’s Divisional Standards of Conduct Implementation Committee launched its review of Form CRS from a cross section of RIAs…
February 12, 2020
Form CRS, the sleeping giant, awakens! Investment advisers and broker dealers are turning their attention to planning for Form CRS,…
January 23, 2020
No rest for the weary. With the new year upon us, our attention turns to new budgets, change and planning….
October 15, 2019
Strategies to employ when an SEC OCIE adviser exam goes bad drew a great crowd at the recent CSS Ascendant…