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The weekly news source for investment management legal and compliance professionals

News November 12, 2018 Issue

OCIE Reveals Most Common Cash Solicitation Rule Deficiencies

SECís Office of Compliance Inspections and Examinations wants advisers to know the violations its examiners are finding when they visit advisory firms. In recent months, it has issued Risk Alerts highlighting the most common deficiencies cited involving best execution, fees and expenses, and more. Its latest Risk Alert focuses on adviser compliance issues related to Advisers Act Rule 206(4)-3, the Cash Solicitation Rule.

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