Risk Alert: Investment Adviser Compliance Issues Related to the Cash Solicitation Rule
Oct. 31, 2018
Topic: The most common issues related to the Cash Solicitation Rule identified in deficiency letters sent to investment advisers
Key takeaways: Advisers should review their practices and policies to ensure compliance with the Cash Solicitation Rule
View the Risk Alert: Investment Adviser Compliance Issues Related to the Cash Solicitation Rule (PDF)
Modified: Oct. 31, 2018