en

Introducing Bovill in New York

Adding to experts in Chicago, London, Hong Kong and Singapore. We can help locally and internationally.
Read more

Relieving the burden of regulatory reporting

We can help with Form PF, Form 13F and Form CPO-PQR
Find out more

Bovill provides comprehensive US broker/dealer registration services

Forming a new broker/dealer, acquiring an existing firm or expanding your business activities?
Find out more

Bovill is an independent, specialist financial services regulatory consultancy with a global offering. We are committed to providing practical solutions and with offices in the UK, Asia and the Americas we can offer a globally integrated service.

Insights

The OCIE’s latest Risk Alert makes it clear the SEC expects more from Chief Compliance Officers. The Risk Alert: OCIE Observations: Investment Adviser Compliance Programs describes the most commonly cited compliance rule deficiencies identified by the Office of Compliance Inspections and Examinations. The alert covers a range of topics from CCO authority to specific deficiencies with advisers’ policies and procedures.
New Risk Alert outlines common compliance failings23 November 2020The OCIE’s latest Risk Alert makes it clear the SEC expects more from Chief Compliance Officers. The Risk Alert: OCIE Observations: Investment Adviser Compliance Programs describes the most commonly cited compliance rule deficiencies identified by the Office of Compliance Inspections and Examinations. The alert covers a range of topics from CCO authority to specific deficiencies with advisers’ policies and procedures.
Printed from http://www.bovill.com.
Contact us at enquiries@bovill.com or see full contact details at https://www.bovill.com/contact.
Menu