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OCIE identifies Advisory Fees and Expense Compliance Issues18 April 2018 / AmericasOn April 12, 2018 the United States Securities and Exchange Commission Office of Compliance Inspections and Examinations (“OCIE”) released a Risk Alert on the most frequent advisory fees and expense compliance issues observed during examinations of investment advisers. The compliance issues noted in the risk alert were the most frequently identified fees and expense issues from over 1,500 deficiency letters sent to advisers from examinations completed in the past two years.
Everything under control? Governance of suitability and the investment process26 April 2018 / London26 April 2018 @ 8:00 am - 9:00 am - Bovill briefing | Everything under control? Governance of suitability and the investment process | London | Event date: Thursday 26 April 2018 Do you know who has ultimate responsibility for suitability in your organisation? Or how effective your controls are to prevent poor client outcomes? Do you rely heavily on file checking by Compliance? Or [...]