SEC Warns Advisers About Compliance Program Weaknesses
This caught my eye. The SEC staff just put out a Risk Alert highlighting deficiencies and weaknesses at investment advisory firms. Two stood out to me: • Some advisers did not “devote adequate resources” to their compliance programs. In particular, the SEC observed dual-hatted CCOs who “did not appear to devote sufficient time” to fulfilling … Continue reading SEC Warns Advisers About Compliance Program Weaknesses
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