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OCIE Observations: Investment Adviser Compliance Programs

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Nov 19, 2020 · The Most Frequent Advertising Rule Compliance Issues Identified in OCIE Examinations of Investment Advisers (Sep. 14, 2017). 5 . o Oversight of the use and accuracy of performance advertising. ...

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Risk Alert: The Most Frequent Advertising Rule Compliance ...

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Oct 28, 1986 · investment strategy, the five (or more) best performing holdings along with an equal number of worst performers if several representations were met. 22. OCIE staff has ... recommendations did not represent all securities purchased, sold, or recommended to

  Rules, Compliance, Investment, Most, Advertising, Frequent, Purchased, Most frequent advertising rule compliance

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