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The SEC’s New Rule Proposal
By Ian Meiksins, Key Bridge Compliance President The Securities and Exchange Commission proposed a new rule that would require registered investment advisors to conduct due…
The SEC’s 2022 Examination Priorities
By Kevin Kirk On March 30, 2022, the Securities and Exchange Commission’s (“SEC”) Division of Examinations (“Division”) released its 2022 Exam Priorities. The stated purpose…
PART I: Addressing Recent OCIE Risks—Inadequate Compliance Resources
Author: Amy D’Avella This is the first in a series of blogs which will analyze the SEC’s Office of Compliance Inspections & Examination’s (OCIE) November…
Risk Alert: OCIE Releases Risk Alert Targeting CCOs and Compliance programs
Coinciding with the SEC’s annual Compliance Outreach Program National Seminar, on November 19 the Office of Compliance Inspections & Examinations (OCIE) released a risk alert…
OCIE Risk Alert – Multi-Branch Offices
On November 9, 2010, the Securities and Exchange Commission’s Office of Examinations and Inspections released a risk alert titled Observations from OCIE’s Examinations of Investment…
The SEC Updates Form CRS FAQs
In the wake of an investigation by the Wall Street Journal showing that 20% of firms incorrectly stated having no disciplinary history in their Form…
New Phishing Scheme Posing as FINRA
Author: Amy D’Avella Key Bridge Compliance has been made aware of a new phishing attack against both FINRA members and SEC-registered investment advisers. The phishing…
SEC Expands Definition of Accredited Investor
Author: Amy D’Avella Accredited investors are those the SEC deems sufficiently sophisticated to operate in riskier investment environments, such as private markets. This definition has…
OCIE Cybersecurity Risk Alert
Author: Amy D’Avella On September 15, 2020, the Office of Compliance Inspection & Examinations (OCIE) issued a Risk Alert titled Cybersecurity: Safeguarding Client Accounts against…
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