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The SEC's Office of Compliance Inspections and Examinations recently released a letter outlining five areas where the most common compliance deficiencies occur. The regulator encourages advisers to reacquaint themselves with these topics and review their compliance practices.

We broke down the most common mistakes in each area. Check to see if your business is up to speed by clicking through the blunders examiners come across most often. ­-- Maddy Perkins


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