Earlier this year we published a blog post titled; "The SEC's 5 most Common Compliance Deficiencies".
This list was based on an official release from the OCIE on the the most frequently identified compliance topics in deficiency letters following an examination. We have now condensed this list into an easy digestible infographic.
(Click image to enlarge)
To assist and prepare SEC registered investment advisers for exams, The SEC’s Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert listing five of the most frequently identified compliance topics in deficiency letters following an examination.
