Access to this article requires a User ID/Password.

If you are a subscriber or trial member please login using your provided credentials.

To obtain a trial membership please click HERE or contact Dan Lalor at 917-586-6726 or via email at

OCIE flags 15(c) deficiencies; should spur boards to 'gut check'


The Securities and Exchange Commission's Office of Compliance Inspections and Examinations issued a risk alert earlier this month that detailed compliance deficiencies it found while conducting hundreds of fund examinations over the past several years—including some related to mutual fund boards' contract renewal processes. But while OCIE cites problems it found ... Log in to view full article.