A new risk alert issued Wednesday by the Office of Compliance Inspections and Examinations (OCIE) highlights six coronavirus-related areas in which compliance officers at Securities and Exchange Commission (SEC)-registered investment advisers and broker-dealers might want to focus their attention.
Aaron Nicodemus is the Editor-in-Chief of Compliance Week. He previously worked as a reporter for Bloomberg Law and as business editor at the Telegram & Gazette in Worcester, Mass. Email: aaron.nicodemus@complianceweek.com LinkedIn:... More by Aaron Nicodemus
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