Thu, Nov 1, 2018
SEC Issues Risk Alert on Cash Solicitation Rule
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.
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