Christopher Dailey

Christopher Dailey

Dechert LLP

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OCIE Risk Alert Offers Staff Observations regarding Investment Company Compliance; with Focus on Money Market Fund and Target Date...

The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations on November 7, 2019 issued a Risk Alert in which the OCIE staff (Staff) discussed “the most often cited deficiencies and weaknesses”...more

12/6/2019  /  Compliance , Global Code of Ethics , Investment Companies , Money Market Funds , OCIE , Risk Alert , Securities and Exchange Commission (SEC) , Target Date Funds
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