SEC Issues Risk Alert on Cash Solicitation Rule Compliance

or to bookmark this page

Click here to bookmark this page

Click here to remove bookmark

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.

SEC Issues Risk Alert on Cash Solicitation Rule 2018-11-01T04:00:00.0000000 /en/insights/publications/financial-compliance-regulation/sec-issues-risk-alert-on-cash-solicitation-rule /-/media/assets/images/publications/thumbnails/compliance-and-regulatory-consulting/sec-risk-alert-cash-solicitation-rule.png publication {4D5F3272-D961-43F9-A68A-1C9C7C28832E} {6985A4D6-A0A8-48F3-83DA-C249E832DF07} {000DE5BE-6355-408E-85E6-1C296A187DF5}

Other Areas We Can Help

Insights

Compliance

FCA Updates – March 2021

Compliance
Compliance

U.S. Regulatory Calendar 2021

Compliance
Compliance

Market Participants Encouraged to Switch to SONIA

Compliance
Compliance

Assessing the Value of Compliance Due Diligence in M&A—Insight Into the Challenges and Benefits

Compliance