Tag Archives: Best Execution

SEC Issues Best Execution Risk Alert

The Office of Compliance Inspections and Examinations (“OCIE”) recently issued a Risk Alert regarding Best Execution The alert was targeted to investment advisers (“advisers”), investors and other market participants with information concerning many of the most common deficiencies that the staff of the Securities and Exchange Commission (“SEC”) has cited in recent examinations of advisers’ … Continue reading SEC Issues Best Execution Risk Alert