...compliance solutions made simple.

561-600-0565

SEC Publishes Most Frequent Best Execution Deficiencies Found by Examiners

by | Aug 22, 2019 | Investment Adviser Representative, Office of Compliance Inspections and Examinations (OCIE), RIA Compliance, RIA Compliance Policies, SEC Investment Adviser Compliance, State Investment Adviser Compliance

On July 11, 2018, the Office of Compliance Inspections and Examinations (OCIE) released a risk alert dealing with the most frequent best execution deficiencies identified during investment adviser exams. The risk alert can help Registered Investment Advisers (RIAs)...