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SEC issues risk alert on investment adviser compliance program issues

By Israel Group on December 3, 2020
Posted in Articles

On November 19, 2020, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (“OCIE”) issued a new risk alert (the “Alert”) providing an overview of “notable compliance issues” observed during examinations of registered…
Continue Reading SEC issues risk alert on investment adviser compliance program issues

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Israel Global Gateway is a blog about business and legal issues important to Israeli companies, investors and entrepreneurs in support of their global activities. Israel Global Gateway is edited by Jeremy Lustman, head of DLA Piper’s Israel Country Group.

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