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OCIE Reveals Cash Solicitation Rule Compliance Issues

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

The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) periodically publishes Risk Alerts to highlight compliance problems discovered during examinations. On October 31, 2018, OCIE circulated a Risk Alert that analyzes compliance issues...