OCIE Reveals Most Common Best Execution Deficiencies Found by Examiners

Wouldnt 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 SECs 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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