| 15.09.2023 Other Voices: SEC issues risk alert on adviser examination process and settles charges regarding advisers' marketing rule violations |
| By David E. Wohl and John Bradshaw, from global law firm Weil Gotshal & Manges LLP. Exam Risk Alert On September 6, 2023, the SEC's Division of Examinations (Division) issued a risk alert outlining its risk-based approach to selecting advisers for examination and determining focus areas of such examinations. With respect to adviser selection, the alert notes the Division's focus on: |
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