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Text of SEC Risk Alert: Select COVID-19 Compliance Risks and Considerations for Broker-Dealers and Investment Advisers (PDF)
U.S. Securities and Exchange Commission [SEC] 
[Official Guidance] Aug. 17, 2020 "OCIE has identified a number of COVID-19-related issues, risks, and practices relevant to SEC-registered investment advisers and broker-dealers. Additionally, market volatility related to COVID-19 may have heightened the risks of misconduct in various areas that the staff believe merit additional attention. The purpose of this Risk Alert is to share some of these observations ... [which] fall broadly into the following six categories: [1] protection of investors' assets; [2] supervision of personnel; [3] practices relating to fees, expenses, and financial transactions; [4] investment fraud; [5] business continuity; and [6] the protection of investor and other sensitive information." MORE >> |
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