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Exam Focus (72)
Your search for Exam Focus returned 72 results.
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7/26/2018 | Content area: Investment Adviser
IA Watch has obtained a copy of an OCIE sweep exam request letter tied to how advisers are handling cryptocurrencies.   The exam letter probes whether...
2/07/2018 | Content area: Investment Adviser
It is our privilege to share with you the 2018 examination priorities of the Office of Compliance Inspections and Examinations (OCIE) of the U.S. Secu...
2/07/2018 | Content area: Investment Adviser
The newest list of OCIE exam priorities resembles past ones in that many of the topics match what the agency put out last year. But the 2018 list diff...
11/16/2017 | Content area: Broker-Dealer
FINRA’s latest exam sweep focuses on broker-dealers’ receipt of order routing inducements and potential conflicts of interest. The SRO is looking to d...
9/21/2017 | Content area: Investment Adviser
They may not be great in number but the SEC’s Boston Regional Office has returned to doing something that had been curtailed to only cases of suspecte...
6/29/2017 | Content area: Investment Adviser
With cybersecurity risks threatening our privacy, it’s no wonder some would seek technology to shield their communications from prying eyes. But you c...
9/15/2015 | Content area: Investment Adviser
OCIE staff will continue its focus on cybersecurity by conducting examinations of registered broker-dealers and investment advisers. The examinations ...
5/20/2015 | Content area: Investment Adviser | Private Fund
It’s nice when you have something to compare an experience with, such as an SEC exam. Three compliance officers who’ve been through multiple exams sep...
5/19/2015 | Content area: Investment Adviser | Private Fund
Three strikes and you’re out. A critical SEC exam best practice is to make sure you address and correct deficiencies previously cited by the Commissio...
4/27/2015 | Content area: CPO/CTA
During an NFA exam, examiners listened to phone recordings. In this case, concern was drawn to a call with a prospective customer who was only ninetee...
4/23/2015 | Content area: Investment Adviser
If you’re an investment company adviser that’s never been examined by the SEC and the fund has been registered for more than a year, you now have a sc...
4/16/2015 | Content area: Broker-Dealer
There is room for improvement for brokerage firms conducting business with senior investors say the SEC and FINRA. The regulators would like to see br...
4/09/2015 | Content area: Investment Adviser | Private Fund
The gift arrived just days before last Christmas. Four SEC examiners were coming to town, and would arrive just as the New Year began. What was even m...
3/23/2015 | Content area: Broker-Dealer
Emily Gordy spent 27 years as a financial regulator, most recently as FINRA’s senior vice president of enforcement before joining Shulman Rogers Ganda...
3/19/2015 | Content area: Investment Adviser | Private Fund
Saying “it’s beyond time to act” on the lack of exams for IAs, SEC Chair Mary Jo White last week said permitting “a program of third-party compliance ...
3/12/2015 | Content area: Broker-Dealer | Private Fund
Just as OCIE did last year before launching its cybersecurity initiative that visited some 100 firms (IA Watch, April 21, 2014), look for the agency t...
3/05/2015 | Content area: Broker-Dealer | Private Fund
While FINRA’s long been interested in supervision of branch offices (IA Watch, Dec. 12, 2011), there are signs OCIE’s taking a deeper interest in this...
3/05/2015 | Content area: Investment Adviser | Private Fund
It’s right there in black and white in current SEC exam document request letters. Before arriving on-site at an advisory firm, Commission examiners ar...
3/05/2015 | Content area: Broker-Dealer | Private Fund
When your regulator has embraced a risk-based approach to prioritizing exams, it’s always helpful to know what factors are actively being considered. ...
3/03/2015 | Content area: Investment Adviser | Private Fund
The adviser had set up a committee to deal with conflicts. The firm’s CFO and CCO formed the entirety of the “conflicts committee.” Problem was the co...


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