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Exam Focus (45)
Your search for Exam Focus returned 45 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...
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...
4/23/2015 | 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...
4/09/2015 | 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...
3/19/2015 | 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 ...
3/05/2015 | 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...
3/03/2015 | 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...
2/12/2015 | Content area: Investment Adviser | Private Fund
Now that OCIE has released its 2015 exam priorities, we checked with some of your peers who have been through recent exams to ask them what were the h...
2/12/2015 | Content area: Investment Adviser
Violations of the Investment Company Act cost Water Island Capital ($3.4B in AUM) in New York $50,000 last week after it settled custody and complianc...
2/03/2015 | Content area: Investment Adviser | Broker-Dealer
This Risk Alert provides summary observations from OCIE’s examinations of registered broker-dealers and investment advisers, conducted under the Cyber...
1/15/2015 | Content area: Investment Adviser | Private Fund
Fees and expenses for private equity fund advisers. Visits to never-been-examined investment companies. Cybersecurity. These are among the new items c...
12/10/2014 | Content area: Investment Adviser
There are a number of  “red flags” sure to be caught by SEC examiners when they comb over your Form ADV (see related story).  While you can avoid some...
11/13/2014 | Content area: Investment Adviser | Private Fund
OCIE examiners have worn their traveling shoes of late, visiting a variety of firms and conducting a mix of quick-hit inquiries and lengthy visits. Re...
9/15/2014 | Content area: Investment Adviser
State-registered investment advisers still have work to do when it comes to cybersecurity practices, reveals a new survey from the North American Secu...


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