Risk Alert

/Risk Alert

OCIE Releases Risk-Based Examination Initiatives

OCIE Releases Risk-Based Examination Initiatives WHAT HAPPENED? On November 8th, 2018, the Securities and Exchange Commission (SEC) Office of Compliance Inspections and Examinations (OCIE), released its series of examination initiatives focused on mutual funds and exchange traded funds (collectively, “Funds”).  The goal of these initiatives is to assess industry [...]

OCIE Releases List of Most Common Best Execution Issues Cited in Adviser Exams

OCIE Releases List of Most Common Best Execution Issues Cited in Adviser Exams WHAT HAPPENED? On July 11th, 2018, the Office of Compliance Inspections and Examinations (OCIE) released a risk alert outlining the most common deficiencies cited in adviser examinations regarding best execution obligations.  The risk alert summarizes issues [...]