Observations Regarding Fixed Income Principal and Cross Trades by Investment Advisers from An Examination Initiative

Nearly two-thirds of the examined advisers received staff-issued deficiency letters, which addressed the staff’s observations regarding a variety of topics. However, the vast majority of deficiencies the staff observed were related to compliance program issues, conflicts of interest, and disclosures

To read this article, you need to sign in.


You should only be asked to sign in once. Not the case? Click here


Register now to read this article and more for free.