OCIE Observations: Investment Adviser Compliance Programs
Nov. 19, 2020
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