Risk Alert: The Five Most Frequent Compliance Topics Identified in OCIE Examinations of Investment Advisers
Feb. 7, 2017
Topic: The five most frequent compliance topics 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: Top Five Most Frequent Investor Adviser Compliance Topics (PDF)
Modified: July 1, 2022