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SECs OCIE Issues Warning to Registrants Regarding Complex ExchangeTraded Products

November 18, 2020

By News Team

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On November 16, 2020, the Office of Compliance Inspections and Examinations (OCIE) of the US Securities and Exchange Commission (SEC) issued a public statement (Public Statement)1 regarding the recent settled enforcement actions against three SEC-registered investment advisers and two dual-registrants related to certain exchange-traded products (ETPs). These enforcement actions were…

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