OCIE Observations: Investment Adviser Compliance Programs

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 · The Most Frequent Advertising Rule Compliance Issues . Identified in OCIE Examinations of Investment Advisers . I. Introduction . The Office of Compliance Inspections and Examinations (“OCIE”) is providing a list of compliance issues relating to Rule 206(4)-1 (the “Advertising Rule”) under the Investment Advisers Act of 1940 (the

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