Focus Perspective: Déjà vu all over again

There we were, last week on July 22, talking about disciplinary history policy, and OCIE’s September 12, 2016 Risk Alert, “Examinations of Supervision Practices at Registered Investment Advisers.” Was the SEC spying on us? Has our email been hacked by … Read More ›

Focus Perspective: BDCs and CEFs

  The Securities and Exchange Commission (“SEC”) is proposing rules that would modify the registration, communications, and offering processes for business development companies (“BDCs”) and other closed-end investment companies (“CEFs”) under the Securities Act of 1933, as recently mandated by … Read More ›

Focus Perspective: What Does 2019 Bring

Kudos to the SEC.  Since 2013 when OCIE first identified its examination priorities for the upcoming year, they have been able to identify those priorities in the second fiscal quarter, but for 2019, OCIE identified those priorities on December 20, … Read More ›