New SEC Risk Alert on Adviser Conflicts of Interest
FrontLine Compliance
The SEC’s Division of Examinations recently issued a new Risk Alert (the “Alert”) on Staff observations regarding economic conflicts of interest found during examinations of SEC registered investment advisers. This is at least the third Alert issued by the Staff since 2018 that covers conflicts of interest in some capacity. The most recent Alert reiterates just how important it is for advisers to ensure compliance programs and client disclosures both mitigate and inform clients of…
