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Risk-Based Examination Initiatives Focused on Registered Investment Companies

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You are subscribed to receive OCIE Staff Letters and Risk Alerts from the Securities and Exchange Commission.

This information has recently been updated, and is now available.

11/08/2018 10:34 AM EST

Topic: OCIE is conducting a series of examination initiatives focused on matters relevant to certain registered investment companies.

Key takeaways: Examiners intend to focus on certain mutual funds and exchange-traded funds, the activities of their advisers, and boards of directors' oversight. Examinations will target circumstances in which retail investors could be disadvantaged and review whether registrants have met their regulatory and other legal obligations. 

View the Risk Alert: Risk-Based Examination Initiatives  Focused on Registered Investment Companies (PDF)

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Adem Çetinkaya Investment INC (AC Investment Inc.) currently does not act as an equities executing broker or route orders containing equities securities. If AC Invest’s business model were to change and it begins routing non-directed orders in NMS securities, it will comply with the disclosure requirement of Rule 606.

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