OCIE Outlines Most Common Compliance Areas In Examinations Of Investment Advisers

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The SEC's Office of Compliance Inspections and Examinations published a risk alert outlining the five most frequent compliance topics identified in deficiency letters sent to registered investment...
United States Corporate/Commercial Law

The SEC's Office of Compliance Inspections and Examinations published a risk alert outlining the five most frequent compliance topics identified in deficiency letters sent to registered investment advisers. The OCIE alert said advisers should review their compliance programs and practices with particular attention to the following highlighted topics:

  • Compliance policies and procedures;
  • Required regulatory filings;
  • The "Custody Rule";
  • Codes of ethics; and
  • Books and records.

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