SEC Division of Examinations issued a Risk Alert for Investment Advisers: Assessing Risks, Scoping Examinations, and Requesting Documents on Sept 6th 2023. Please find the link here. All information below is quoted from the risk alert. https://www.sec.gov/files/risk-alert-ia-risk-and-requesting-documents-090623.pdf Key Highlights (quoted from the article) Each year, the Division’s publication of its annual priorities provides advisers with […]...