...compliance solutions made simple.

561-600-0565

SEC’s Supervision Initiative Risk Alert

by | Aug 22, 2019 | Conflicts of Interest, Investment Adviser Representative, Office of Compliance Inspections and Examinations (OCIE), Registered Investment Advisers (RIAs), RIA Compliance Policies, SEC Investment Adviser Compliance, Supervision Initiative

On July 23, 2019, the SEC’s Office of Compliance Inspections and Examinations (OCIE) published a Risk Alert, which discussed its observations from examining firms that currently employ or previously employed supervised persons with a history of disciplinary...