Risk Alert: Most Frequent Best Execution Issues Cited in Adviser Exams
Securities and Exchange Commission sent this bulletin at 07/11/2018 01:00 PM EDT
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Topic: The most frequent best execution issues identified in deficiency letters sent to SEC-registered investment advisers.
Key takeaways: Advisers should reflect upon their practices, policies and procedures in light of their best execution obligations under the Investment Advisers Act of 1940 and make improvements in their adviser compliance programs.
View the Risk Alert: Most Frequent Best Execution Issues Cited in Adviser Exams (PDF)
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