Glowing light bulb and business ideas sketch

Advertising Requirements from OCIE

The SEC continues to identify issues related to compliance with the Investment Advisers Act of 1940’s Advertising Rule.  The latest risk alert from the Office of Compliance Inspection and Examinations notes that some of the most frequent issues are related to Performance reporting.

Among other Advertising Rule areas, investment advisers should review performance processes and controls as stated in the latest compliance programs as well as in actual practices.

Related Posts

Leave a Reply