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