OCIE sets out expectations for compliance oversight of complex investments

OCIE vows to "review for the inappropriate use of complex investment products and evaluate the robustness and effectiveness of related supervisory policies and procedures.  OCIE will also evaluate compliance with Regulation Best Interest and an investment adviser’s federal fiduciary duty"

To read this article, you need to sign in.


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


New to Regulatory Compliance Watch?

Register now to read this article and more for free.