The Securities and Exchange Commission on Tuesday announced areas in compliance that most often are troublesome. “Advisers took remedial measures, such as enhancing written compliance procedures, policies or processes; changing business practices; or devoting more resources to the area of compliance,” the Office of Compliance Inspections and Examinations said in a risk alert. “Where appropriate, the staff referred examinations to the Division of Enforcement for further action.” Read the original story from InvestmentNews.
