Compliance Rule Archives - NCA Compliance, Inc.

OCIE Issues Risk Alert on Compliance Rule

The SEC issued a risk alert today that provided an overview of notable compliance issues identified by examination staff of OCIE (Office of Compliance Inspections and Examinations) with regard to Rule 206(4)-7 (the “Compliance Rule”) of the Advisers Act.

0 Comments

November 19, 2020

NCA Compliance Resources

SEC Alert on Electronic Communications – What Advisors Need to Know

On December 14, 2018, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) issued a risk alert to remind investment advisors of their obligations with respect to electronic communications and social media and to help advisors improve their systems, policies, and procedures.

0 Comments

December 20, 2018

Close Menu