OCIE Observations: Investment Adviser Compliance Programs
This Risk Alert provides an overview of notable compliance issues identified by the Office of Compliance Inspections and Examinations (“OCIE”) related to Rule 206(4)-7 (the “Compliance Rule”) under the Investment Advisers Act of 1940. Deficiencies related to the Compliance Rule have been among the most common cited by OCIE.
View the Risk Alert: OCIE Observations: Investment Adviser Compliance Programs
Last Reviewed or Updated: Nov. 19, 2020