Erin Randall

Dechert LLP

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OCIE Publishes Risk Alert on Notable Compliance Issues Found in Investment Adviser Examinations

The staff of the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (staff) issued a Risk Alert on November 19, 2020 (Risk Alert), related to OCIE’s observations regarding deficiencies in...more

12/16/2020  /  Investment Adviser , Investment Management , OCIE , Policies and Procedures , Portfolio Managers , Risk Alert
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