Risk Alerts: Best Execution plus Fee and Expense Compliance Issues
Regulation Proposal: Status of SEC Regulation Best Interest
Since 2011 the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) has issued timely Risk Alerts from the National Examination Program providing information on common deficiencies that their staff has cited in the examination of investment advisers.
At the NRS 2018 Compliance Forum, industry experts will take a deep dive into this year’s Risk Alerts plus address the current status of the SEC’s proposed rule, Regulation Best Interest.
As the year comes to a close and compliance programs look toward the new year in planning priorities and initiatives, join your compliance peers in New York City at the NRS 2018 Compliance Forum for a day of in-depth discussions, peer networking, and practical guidance.
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