Risk Alert

OCIE publishes top five investment adviser compliance issues found during examinations

MARK D. PERLOW, PARTNER, SAN FRANCISCO, DECHERT, MICHAEL L. SHERMAN, PARTNER, WASHINGTON, D.C., DECHERT, ASHLEY N. RODRIGUEZ, ASSOCIATE, WASHINGTON, D.C., DECHERT

The Office of Compliance Inspections and Examinations (OCIE) of the US Securities and Exchange Commission (SEC) issued a National Exam Program Risk Alert on 7 February 2017 (Risk Alert), highlighting the “five compliance topics most frequently identified in deficiency letters that were sent to SEC-registered investment advisers” in a sample of over 1,000 examinations during the prior two years. The deficiencies or weaknesses concerned requirements of the...

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