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Expert Analysis

Takeaways From SEC's Registered Investment Cos. Risk Alert

By David Blass, Meaghan Kelly and Michael Osnato Jr. ( January 17, 2025, 5:00 PM EST) -- On Nov. 4, the U.S. Securities and Exchange Commission's Division of Examinations released a risk alert pertaining to registered investment companies, or RICs, and their advisers that (1) provides a high-level overview of its risk-based approach to selecting RICs for examination, (2) covers common examination deficiencies, and (3) outlines the typical types of initial documents requested in an examination.[1]...

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