Aggregated News From Investment Management Regulators

Jonathan Blattmachr, Jonathan Forman Article Discusses SEC Report on Common Compliance Deficiencies for Investment Companies


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Counsels Jonathan Blattmachr and Jonathan Forman authored an article published in the December 2019 issue of Wells Fargo Prime Services Business Consulting “Industry and Regulatory Updates.” The article, “SEC Warns Investment Companies and Their Service Providers of Common Deficiencies and Weaknesses,” discusses a Risk Alert issued by the Office of Compliance Inspections and Examinations (OCIE) of the Securities and Exchange Commission (SEC) that identifies the most common weaknesses and deficiencies found in its examination of nearly 300 registered investment companies over the past two years. The report notes these areas of concern: Fund Compliance Rule, Disclosures to Investors, Section 15(c) Process, and Fund Code of Ethics.

Read the full article from BakerHostetler here:

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