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Fiduciary Duty Best Execution

Dechert LLP

OCIE Publishes Risk Alert on Most Frequent Best Execution Compliance Issues Found During Examinations

Dechert LLP on

The U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations issued a National Exam Program Risk Alert on July 11, 2018. The Risk Alert highlights OCIE’s observations of compliance issues...more

Kramer Levin Naftalis & Frankel LLP

OCIE Warns Advisers Regarding Best Execution Obligations

On July 11, 2018, the Securities and Exchange Commission (SEC) issued a risk alert outlining certain compliance issues identified by its Office of Compliance Inspections and Examinations (OCIE) related to the obligation to...more

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