The SEC’s Division of Examinations has issued a new Risk Alert to assist firms in developing and enhancing their compliance practices related to digital securities and other distributed ledger assets.
OCIE has issued a Risk Alert providing an overview of notable compliance issues identified in a sample of deficiency letters from recent adviser exams.
You are now leaving Investment Adviser Association
The IAA provides links to web sites of other organizations in order to provide visitors with certain information. A link does not constitute an endorsement of content, viewpoint, policies, products or services of that web site. Once you link to another web site not maintained by the IAA, you are subject to the terms and conditions of that web site, including but not limited to its privacy policy.
