Select COVID-19 Compliance Risks and Considerations for Broker-Dealers and Investment Advisers*

The Office of Compliance Inspections and Examinations (“OCIE”) identified a number of COVID-19-related issues, risks, and practices relevant to SEC-registered investment advisers and broker-dealers. Additionally, market volatility related to COVID-19 may have heightened the risks of misconduct in various areas that the staff believe merit additional attention. OCIE is issuing this Risk Alert to share some of these observations with firms, investors, and the public generally. 

View the Risk Alert: Select COVID-19 Compliance Risks and Considerations for Broker-Dealers and Investment Advisers