On March 27, 2023, the U.S. Securities and Exchange Commission (SEC) released a Risk Alert aimed at newly-registered advisers. The Risk Alert discusses the typical areas reviewed during newly-registered adviser examinations and the areas in which compliance problems are most commonly discovered.
Primarily, when examining newly-registered advisers, the SEC staff found inadequacies regarding:
• Compliance policies and procedures;
• Disclosure documents and filings; and
• Marketing.
Click here to read the Risk Alert: ttps://lnkd.in/gysuQ6Dm
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