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SEC Risk Alert on Advisers Act Marketing Rule Compliance
The SEC's Division of Examinations issued a Risk Alert highlighting observations regarding investment advisers' compliance with the Marketing Rule. The alert focuses on disclosure requirements, oversight practices for testimonials and endorsements, and due diligence for third-party ratings.
SEC Municipal Advisors Risk Alert and Examination Guidance
The SEC's Division of Examinations has published a Risk Alert to assist municipal advisors in understanding the examination process. The alert details potential areas of focus, selection criteria for examinations, and initial document requests.
SEC Risk Alert on Investment Company Core Areas Review
The SEC's Division of Examinations has published a Risk Alert detailing typical document requests and examination observations for registered investment companies. The alert aims to help funds and their advisers enhance their compliance programs and practices by highlighting key review areas such as compliance programs, disclosures, and governance.
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