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…
News
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…
The SEC Continues to Put Private Fund Advisers on Notice
Author: Chris Payne On June 23rd, 2020, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) released a Risk Alert[1] intended to highlight the compliance…
The Importance of Books and Records in a Bear Market
Maintaining proper books and records is a key component of your compliance program, but with so many rules and regulations to keep track of it…
Chris Payne Named Managing Director of Key Bridge Compliance
Key Bridge Compliance is excited to announce the promotion of our colleague Chris Payne to Managing Director. Chris joined Key Bridge Compliance in August as…
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