Peltz, Brynn D.; Nissan, Ilan S.; Rabinowitz, Evyn W. - In: Journal of Investment Compliance 18 (2017) 2, pp. 16-18
deficiencies noted by the OCIE relating to the Compliance Rule, required regulatory filings, the Custody Rule, the Code of Ethics … Rule, and the Books and Records Rule. Findings The OCIE published the Risk Alert with its noted deficiencies only one month …