See why ACA Insight is the leading newsletter on regulatory compliance. Sign up for a free 1-week trial.

The weekly news source for investment management legal and compliance professionals

News July 30, 2018 Issue

OCIE Reveals Most Common Best Execution Deficiencies Found by Examiners

Wouldn’t it be great to know what examiners expect to find – and, as a result, will be looking for – when they visit? In the area of best execution, at least, that is no longer a mystery. The SEC’s Office of Compliance Inspections and Examinations on July 11 released a risk alert containing "the most common deficiencies associated with advisers’ best execution obligations identified by OCIE staff."

Full contents of this article are only available to paid subscribers.

Subscribe to ACA Insight

Subscribe to ACA Insight and receive a time-limited $200 discount! Subscribers receive: 46 electronic issues conveniently e-mailed to your desktops each Friday; access to archives of past stories; and breaking news e-mails.

Subscribe today to the weekly news source for investment management and legal compliance professionals.

Subscriber Log In

Forgot your password? Click Here.