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Risk Alert: The Five Most Frequent Compliance Topics Identified in OCIE Examinations of Investment Advisers

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)

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Modified: Feb. 7, 2017