SEC Risk Alert: Wrap Fee Programs

SEC Risk Alert: Wrap Fee Programs

01 November 2021

Main Contributor: Katie Mogan, IACCP® Vice President, Senior Compliance Consultant Introduction On July 21, 2021, the SEC released a Risk Alert focusing on examinations of wrap sponsors and wrap advisors. After examining over 100 advisors associated with wrap programs, the SEC found compliance concerns and identified areas where advisors needed to make improvements. The focusRead More »