WilmerHale Attorneys Analyze OCIE Risk Alert on Cash Solicitation Rule

• Gretchen Roin, Timothy Silva
• 1.28.2019

WilmerHale’s Gretchen Passe Roin, Timothy Silva and Seth Davis authored this Investment Lawyer article discussing a recent risk alert by the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations, in connection with the Cash Solicitation Rule, which is designed to “notify prospective advisory clients that the person recommending the adviser (that is, the solicitor) has a financial incentive to make the referral.”