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Chris Lombardy, Managing Director and Head of the U.S. Compliance and Regulatory Consulting practice, was featured in a Compliance Week article discussing the SEC’s Office of Compliance Inspections and Examinations’ (OCIE) risk alert, published on June 23, 2020.
The alert targets disclosure deficiencies related to conflicts of interest, fees and expenses and policies related to the handling of material non-public information (MNPI). In the article, “SEC Risk Alert Provides Compliance Roadmap for Investment Advisors,” Chris says regulators “are going to test around the risky, conflict areas in your business, so those are areas to focus efforts to revise or enhance.”
Read Duff & Phelps’ summary of OCIE’s risk alert here.
Compliance Week subscribers can read the full article here.
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