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News November 19, 2018 Issue

Examiners Will Target Certain Types of Mutual Funds, ETFs and Their Advisers

The SECís examination arm is getting the word out about perceived fund and adviser risk areas. Just eight days after issuing a risk alert in regard to advisers and the Cash Solicitation Rule, it has issued another risk alert on risk-based examinations focusing on mutual funds, exchange-traded funds and their advisers.

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