SEC Risk Alert Highlights Ongoing Deficiencies in Managing Economic Conflicts of Interest
On June 9, 2026, the SEC’s Division of Examinations issued a Risk Alert titled observations-ia-obligations-related-economic-conflicts-interest-060926, providing important insight into how investment advisers are handling economic conflicts of interest during examinations. The findings reinforce a familiar, but increasingly scrutinized, theme: advisers must not only identify conflicts, but also ensure they are fully disclosed, consistently managed, and […]
