Most Common Compliance Issues for Investment Advisers

My recent work with a small investment adviser prompted me to look at what would be some areas that an RIA should look out for. Of course, the list can be extensive and can vary depending on the type of clients, products, etc.

I found this risk alert from the SEC’s OCIE to be a good start with 5 top areas to be concerned with – compliance procedures, regulatory filing, custody rules, code of ethics, and books & records. Here is the article with some specific examples mentioned.

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