Market instability due to COVID-19 and the pandemic’s impact on normal business operations may have increased the risks associated with investing in the modern securities marketplace. The SEC’s Office of Compliance Inspections and Examinations (OCIE) has identified a number of COVID-19-related issues relevant to SEC-registered investment advisers and broker-dealers (“firms”) and has released a risk alert exploring these topics. The purpose of the risk alert is to share some of these observations with firms, investors, and the public.
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