The Five Most Frequent Compliance Topics Identified During RIA Exams

by Ara Jabrayan | Feb 21, 2017 | Division of Investment Management News, Fiduciary Duty, Form ADV, RIA Compliance, RIA Compliance Policies, SEC Investment Adviser Compliance

The SEC’s Office of Compliance Inspections and Examinations (OCIE) publishes a list of the five compliance topics most frequently identified in deficiency letters sent to SEC-registered investment advisers.