By Vincente Martinez, Trayne Wheeler and Shane Shannon ( December 6, 2018, 5:26 PM EST) -- The U.S. Securities and Exchange Commission's Office of Compliance Inspections and Examinations issued a risk alert on Nov. 8, 2018, stating that it is conducting a series of examination initiatives focused on matters relevant to mutual funds and exchange-traded funds. The risk alert states that the OCIE staff will generally assess practices, risks and conflicts regarding: (1) policies and procedures of funds and advisers, including board oversight of the compliance program; (2) disclosures by funds to investors and by advisers to boards; and (3) the deliberative processes utilized by funds, advisers and boards....
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