 Advisers took remedial measures, such as enhancing written compliance procedures, policies or processes; changing business practices; or devoting more resources to the area of compliance.”Office of Compliance Inspections and Examinations |
SEC reveals five most frequent compliance violations
Mark Schoeff Jr. | InvestmentNews, February 2017
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Summary: The Securities and Exchange Commission exam arm announced Tuesday that deficiencies involving compliance procedures, regulatory filings, the custody rule, code of ethics, and books and records are the five that most often trip up registered investment advisers.
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