SEC Office of Compliance Inspections and Examinations Issues Risk Alert on Multi-Branch Adviser Initiative

January 19, 2017

Investment advisers registered with the U.S. Securities and Exchange Commission (SEC) may use a variety of business and organizational models, which may include structures with one or more branch offices. In announcing its primary examination priorities for 2016, the SEC’s Office of Compliance Inspections and Examinations (OCIE) indicated that it will conduct an ongoing review of how SEC-registered investment advisers supervise their investment adviser representatives in branch offices, as part of a larger continuing focus on “matters of importance to retail investors.”

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