SEC Investment Risks and Compliance Issues
Division of Examinations of the SEC issued a Risk Alert highlighting notable deficiencies identified by EXAMS staff in its review of SEC-registered investment advisers relating to Section 204A Section 204A of the Investment Advisers Act of 1940 and Rule 204A-1 thereunder.
Exchange Commission Division Of Examinations Risk Alert Investment Advisers Act Ethics Rule Ethics Adopting Release
Source: natlawreview.com