Category Archives: OCIE
Subscribe to OCIE RSS FeedTop Ten Regulatory and Litigation Risks for Private Funds in 2021
OCIE Issues Risk Alert on Common Deficiencies Observed in Adviser Compliance Programs
SEC Enforcement’s 2020 Annual Report Reflects Shifting Priorities for Fund Managers: Four Key Takeaways
SEC Announces 2020 National Compliance Outreach Seminar for Investment Companies and Investment Advisers
Private Equity and Cybersecurity: A Guide to Preparing for and Responding to a Breach

Proskauer Partner Joshua Newville Discusses the SEC’s Focus on Valuation of Private Fund Investments
ESG-Focused Fund Strategies Face SEC Scrutiny on Disclosures and Internal Procedures
SEC Cracks Down on Retirement Fund Advisers’ Undisclosed Compensation and Conflicts
SEC Releases Risk Alert Identifying Common Private Equity and Hedge Fund Compliance Deficiencies
Privacy in the Time of Pandemic: COVID-19 Provides Opportunity to Revisit Regulation S-P Privacy Policies
Private Equity and Cybersecurity: Threats, Consequences, and the Regulatory Framework
When is a Cross Trade a Principal Trade? SEC Brings Enforcement Action Against a Fund Manager That Appears not to Have Understood
