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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."

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