Everything you need to know about the latest SEC OCIE Guidance Updates

Category: SEC Compliance

Everything you need to know about the latest SEC OCIE Guidance Updates

The Security and Exchange Commission has released its first Investment Management Guidance Update in nearly two years, noting that “because funds are varied in their operations, they should tailor their compliance programs based on the nature and scope of their businesses”. A key factor in the update is that specified registrants are now required to use […]