Risk-Based Examination Initiatives Focused on Registered Investment Companies
Securities and Exchange Commission sent this bulletin at 11/08/2018 05:00 PM ESTYou are subscribed to receive EXAMS Staff Letters and Risk Alerts from the Securities and Exchange Commission.
This information has recently been updated, and is now available.
11/08/2018 10:34 AM EST
Topic: OCIE is conducting a series of examination initiatives focused on matters relevant to certain registered investment companies.
Key takeaways: Examiners intend to focus on certain mutual funds and exchange-traded funds, the activities of their advisers, and boards of directors’ oversight. Examinations will target circumstances in which retail investors could be disadvantaged and review whether registrants have met their regulatory and other legal obligations.
View the Risk Alert: Risk-Based Examination Initiatives Focused on Registered Investment Companies (PDF)