Blog
Summaries and explanations of the latest regulatory compliance announcements, reports and related stories.
SEC Risk Alert – Investment Adviser Principal and Agency Cross Trading Compliance Issues
On September 4, 2019, the Office of Compliance Inspections and Examinations (“OCIE”) issued a Risk Alert related to principal trading and agency cross transactions under Section 206(3) of the Advisers Act. These topics were identified in recent examinations of investment advisers.