Tag: Compliance Policies
SEC Examination Staff Issues Risk Alert on Adviser Compliance Programs
OCIE has issued a Risk Alert providing an overview of notable compliance issues identified in a sample of deficiency letters from recent adviser exams.
November 19, 2020
Tags: Compliance Policies, Examinations
The SEC brought and settled its first actions in connection with the Division of Enforcement’s Exchange-Traded Products Initiative.
November 17, 2020
Tags: Â OCIE, Compliance Policies, SEC Enforcement
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