Alan Azar

Alan Azar

Dechert LLP

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SEC Office of Compliance Inspections and Examinations Issues Risk Alert on Multi-Branch Adviser Initiative

Investment advisers registered with the U.S. Securities and Exchange Commission (SEC) may use a variety of business and organizational models, which may include structures with one or more branch offices. In announcing its...more

2/1/2017  /  Compliance , Fiduciary Duty , Investment Adviser , Investment Advisers Act of 1940 , OCIE , Registered Investment Advisors , Retail Investors , Securities and Exchange Commission (SEC)
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