The SEC Division of Examinations issued a Risk Alert on April 26, 2023, regarding weaknesses observed at branch office locations of investment advisers and broker dealers.
By Jacqueline Hallihan, Co-Executive DirectorCompliance Services, Part of Confluence The Securities and Exchange Commission (SEC) is seeking public comment on…
The SEC’s “Office of Compliance Inspections and Examinations (“OCIE”) issued an Alert today regarding “Select COVID-19 Compliance Risks for Investment…