OCIE Issues List of Most Frequently Identified Exam Topics

February 21, 2017

On February 7, 2017, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) issued a risk alert (the “Risk Alert”) providing
a list of the five compliance topics that are most frequently identified in deficiency letters sent to registered investment advisers.  Outlined
in this Seward & Kissel Regulatory Compliance alert are typical examples of deficiencies or weaknesses highlighted in the Risk Alert under each topic.


Categories

Compliance, Investment Advisers