26.09.2019 Other Voices: OCIE issues risk alert on trading compliance issues
By: Jonathan Levy, Ballard Spahr

The Securities and Exchange Commission's Office of Compliance Inspections and Examinations (OCIE) issued a risk alert earlier this month from its national examination program warning investment advisers of the most common compliance deficiencies that OCIE found related to principal trading and agency cross transactions under the Investment Advisers Act of 1940

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