OCIE Publishes Risk Alert Regarding Best Execution Compliance Issues

OCIE Publishes Risk Alert Regarding Best Execution Compliance Issues


By: Jessica Forbes, Stacey Song, Joanna D. Rosenberg

On July 11, 2018, the Office of Compliance Inspections and Examinations (“OCIE”) published a National Exam Program Risk Alert on the most frequent compliance issues relating to best execution by investment advisers identified in deficiency letters from OCIE examinations of investment advisers. The Risk Alert reflects issues identified in deficiency letters from over 1,500 adviser examinations.
 

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