Risk Alert: The Most Frequent Advertising Rule Compliance Issues Identified in OCIE Examinations of Investment Advisers
Sept. 14, 2017
Topic: Advertising Rule compliance issues identified in deficiency letters sent to SEC-registered investment advisers.
Key takeaways: Advisers should review their compliance programs and practices in light of the topics noted in this Risk Alert.
View the Risk Alert: The Most Frequent Advertising Rule Compliance Issues Identified in OCIE Examinations of Investment Advisers (PDF)
Modified: Jan. 10, 2023