Tag: Compliance Policies
Signaling an intention to focus on suitability of adviser and broker-dealer recommendations to place retail clients in complex products, the SEC on November 13 brought and settled its first actions...
November 17, 2020
Tags: OCIE, Compliance Policies, SEC Enforcement
SEC Examination Staff Issues Risk Alert on Adviser Compliance Programs
The SEC’s examination staff in the Office of Compliance Inspections and Examinations (OCIE) has issued a Risk Alert providing an overview of notable compliance issues identified in a sample of...
November 19, 2020
Tags: Compliance Policies, Examinations
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.
Click the link above to continue or CANCEL
