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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)

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