Tag: Risk

Breakdown of OCIE’s COVID-19 Compliance Risks Alert

The SEC’s “Office of Compliance Inspections and Examinations (“OCIE”) issued an Alert today regarding “Select COVID-19 Compliance Risks for Investment Advisers and Broker-Dealers.” OCIE shared observations regarding six broad categories: protection of investors’ assets; supervision of personnel; practices relating to fees, expenses, and financial transactions; investment fraud; business continuity; and the protection of investor and … Continued

CSS Consensus Partners with Bloomberg for SEC 22e-4 Reporting

Compliance Solutions Strategies’ Advise Technologies unit and Bloomberg today announced a joint regulatory reporting solution for mutual funds needing to comply with the liquidity risk reporting requirements stipulated by SEC 22e-4. For many open-ended funds, extracting portfolio-level liquidity data and identifying the necessary information needed for SEC reporting can present an array of operational challenges. … Continued


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