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Announcement

Top Compliance Topics Observed in Examinations of Investment Companies and Observations from Money Market Fund and Target Date Fund Initiatives

Nov. 7, 2019

The Office of Compliance Inspections and Examinations  is issuing this Risk Alert to provide investment companies, investors, and other market participants with information on the most often cited deficiencies and weaknesses that the staff has observed in recent examinations of registered investment companies. In addition, this Risk Alert includes observations by the staff from national examination initiatives focusing on money market funds and target date funds.

View the Risk Alert: Top Compliance Topics Observed in Examinations of Investment Companies and Observations from Money Market Fund and Target Date Fund Initiatives

Last Reviewed or Updated: Nov. 7, 2019