After conducting a review of deficiency letters from investment advisor examinations, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) released a risk alert addressing violations of the cash solicitation rule.
You can read the published OCIE Risk Alert here.
If you have any questions or require further information, please do not hesitate to contact one of our experts.
Stay Ahead with Kroll
Financial Services Compliance and Regulation
In the ever-evolving financial services landscape, Kroll's award-winning team offers comprehensive regulatory and compliance services, guiding clients through registration, licensing, and compliance support to minimize risks and enhance efficiency globally.