OCIE’s interests reflected in new exam letters

Keep your documentation of employee compliance training. Examiners asked for it, as well as a list of all principal transactions, cross trades and any loans “between clients and the Adviser”

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.