On November 7, 2019, the SEC’s Office of Compliance Inspections and Examinations (OCIE) published a Risk Alert highlighting the most often cited deficiencies and weaknesses observed in recent examinations of registered...more
11/13/2019
/ Corporate Governance ,
Disclosure Requirements ,
Ethics ,
Independent Directors ,
Investment Company Act of 1940 ,
Investment Funds ,
Investors ,
Money Market Funds ,
OCIE ,
Policies and Procedures ,
Registration Statement ,
Retail Investors ,
Risk Alert ,
Securities and Exchange Commission (SEC) ,
Target Date Funds