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Risk-Based Examination Initiatives Focused on Registered Investment Companies

Nov. 8, 2018

Topic: OCIE is conducting a series of examination initiatives focused on matters relevant to certain registered investment companies.

Key takeaways: Examiners intend to focus on certain mutual funds and exchange-traded funds, the activities of their advisers, and boards of directors’ oversight. Examinations will target circumstances in which retail investors could be disadvantaged and review whether registrants have met their regulatory and other legal obligations. 

View the Risk Alert: Risk-Based Examination Initiatives  Focused on Registered Investment Companies (PDF)

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