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Compliance Inspections and Examinations
Office of Compliance and Inspections
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administrative Advisers Act Rel Advisers Act Release advisory clients advisory fees affiliated AIMR AIMR-PPS standards allocation Amendments Arthur Levitt assets books and records broker broker-dealer examinations brokerage Capital Management client accounts Commission's compliance composite conduct copy deficiency letter Director disclosure documents enforcement action entities ERISA examination program Exchange Act Release execution failed to disclose fidelity bond firms Form ADV inspection staff investment adviser's Investment Advisers Act Investment Company Act Investment Company Institute Investment Management investors last 24 months Matter misleading money manager mutual fund No-Action Letter OCIE OCIE's past specific recommendations performance figures performance results person portfolio manager prohibition prospective clients regional offices registrant registrant's regulators regulatory request research services responsible safe harbor SEC inspection SEC staff SEC's Section 28(e soft dollar arrangements sufficient disclosure sweep examinations trading transfer agents Transfer Binder violations wrap fee accounts