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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.