Peltz, Brynn D.; Nissan, Ilan S.; Rabinowitz, Evyn W. - In: Journal of Investment Compliance 18 (2017) 2, pp. 16-18
Purpose To explain a Risk Alert published on February 7, 2017 published by the Securities and Exchange Commission (SEC) Office of Compliance Inspections and Examinations (OCIE) describing the five compliance topics most frequently identified in deficiency letters sent to investment advisers...