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18 Nov 2016, 8:31 am
While at OCIE in 2011, Mr. [read post]
18 Jan 2016, 2:05 pm
Because MLPs are extremely dependent on external sources of capital for growth, as described above, they can be particularly sensitive to reduced bank lending such as investors may see during market crises. [read post]
17 Nov 2015, 7:34 am
“Why hasn’t the SEC put any bank executives in jail for crashing the economy? [read post]
13 Nov 2015, 6:07 am
[More…] Volcker’s Covered Fund Rules: When Banking Law Borrows from a Securities Law Statute by Erik F. [read post]
12 Sep 2015, 10:01 pm
This one surely needs to be investigated, and there would be no better place for OCI or FBI agents to begin that than at 4200 Wisconsin Ave. in Washington, D.C., where the WAPF is located. [read post]
24 Jul 2015, 5:53 am
A Cetera Financial advisor lost his 17-year career after falling for an email from a hacker who impersonated a client and persuaded him to illegally transfer $160,000 to a bank unconnected with the client or his wife. [read post]
26 May 2015, 2:50 pm
” “Regulated” qualified investors are entities that are already regulated by FINMA, such as banks, securities dealers, fund managers, and insurance companies. [read post]
26 May 2015, 2:50 pm
” “Regulated” qualified investors are entities that are already regulated by FINMA, such as banks, securities dealers, fund managers, and insurance companies. [read post]
15 Apr 2015, 11:07 am
On October 1, 1994, Greenpoint Savings Bank assigned the Mortgage to OCI Mortgage Corporation. [read post]
29 Jan 2015, 4:07 am
In April, the SEC Office of Compliance Inspections and Examinations (OCIE) announced that it would be auditing 50 broker-dealers and investment advisors to assess their cyber risks and preparedness. [read post]
9 Dec 2014, 10:38 am
An attendant goal is to demonstrate to regulators, such as the SEC, OCIE, FINRA, or FTC, that you have paid attention and planned ahead. [read post]
28 Oct 2014, 7:00 am
Pursuant to its statutory authority, it conducts periodic examinations of industry participants, such as investment banks, asset managers, hedge funds, and mutual funds. [read post]
10 Oct 2014, 5:30 am
“Broker-dealers are key gatekeepers in addressing potential violations of the securities laws by customers,” said Kevin Goodman, National Associate Director of OCIE’s broker-dealer examination program. [read post]
4 Sep 2014, 3:19 am
[ix] FINRA’s targeted examination letters seek very similar information as the OCIE cybersecurity initiative. [read post]
1 Oct 2013, 5:44 am
REGULATION FD Beginning in 1999 and continuing into 2000, media reports about selective disclosure of material nonpublic information by issuers raised concerns that select market professionals who were privy to this information profited at the expense of others. [read post]
19 Apr 2013, 3:46 am
- OCIE is budgeted $347 million, a 31% increase. [read post]
2 May 2012, 1:12 pm
Fraud First SEC case involving IA and social media was Anthony Fields http://www.sec.gov/news/press/2012/2012-3.htm Used LinkedIn to make multiple fraudulent offers of fictitious bank guarantees That uncovered lots of other deception Social Media and Employees SEC Rules SEC National Examination Risk Alert – Investment Adviser Use of Social Media http://www.sec.gov/about/offices/ocie/riskalert-socialmedia.pdf Ban on testimonials Linkedin Recommendations could act as a… [read post]
27 Dec 2011, 4:34 pm
Further, he maintained monthly contact with those siblings in India and with various in-laws, maintained three bank accounts in India and owned property in India, and held an Overseas Citizen of India (OCI) card granting him certain rights in India. [read post]
21 Dec 2011, 7:41 am
Further, he maintained monthly contact with those siblings in India and with various in-laws, maintained three bank accounts in India and owned property in India, and held an Overseas Citizen of India (OCI) card granting him certain rights in India. [read post]
21 Nov 2011, 4:15 am
Her latest was a Senate Banking subcommittee hearing last week where all six Division Directors and the head of OCIE gave updates about their activities. [read post]
