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SEC Examinations (149)
Your search for SEC Examinations returned 149 results.
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9/05/2019 | Content area: Investment Adviser
It’s expected that the promised revision to the Advisers Act’s nearly 60-year-old advertising rule will address social media. That insight came out of...
8/15/2019 | Content area: Investment Adviser
Our recap of recent SEC exam activity includes three new document request letters obtained by RCW (IA Watch, Aug. 1, 2019).   The first exam letter di...
8/08/2019 | Content area: Investment Adviser
OCIE examiners visited the mutual fund adviser with one goal: to assess if the fees it receives for shareholder services were legit. “If you’re colle...
8/01/2019 | Content area: Investment Adviser
Sometimes predictions come true. Several CCOs report to RCW that their OCIE exams have stretched out due to the government’s record long shutdown earl...
7/18/2019 | Content area: Investment Adviser
As fee structures grow more complicated, so must your oversight.   Controls at many firms “are not keeping up with the complexity of fees that are bei...
7/10/2019 | Content area: Investment Adviser
An adviser received this initial document request letter in 2019.
6/27/2019 | Content area: Investment Adviser
Summertime and the living is easy, but that’s not why this is an exciting time for the SEC’s Alicia Tate.   “It’s my favorite time of year,” says the ...
6/27/2019 | Content area: Investment Adviser
The SEC’s mum about its “upgrade” to how advisers can upload to OCIE materials requested by examiners.   The new system, called Kiteworks, was due to ...
5/23/2019 | Content area: Investment Adviser
Come July, Richard Cody will report to federal prison to begin serving a two-year sentence for investment adviser fraud. But his elderly victims will ...
5/16/2019 | Content area: Investment Adviser
Similar to about 40% of advisers, the firm indicated on its Form ADV, Part 1 that it has custody. But when OCIE examiners showed up for the first time...
5/16/2019 | Content area: Investment Adviser
Retail investors likely would never think to ask to read an adviser’s deficiency letter from the firm’s most recent OCIE exam. But institutional inves...
4/29/2019 | Content area: Investment Adviser
xaminers have frequently observed deficiencies with respect to the custody rule, and in 2017, OCIE issued a Risk Alert identifying some of the typical...
4/16/2019 | Content area: Investment Adviser
With cybersecurity as hot as a black hole, it’s no surprise that OCIE wants advisers to take a new look at their cybersecurity P&Ps as well as how the...
4/11/2019 | Content area: Investment Adviser
A glance at a recent OCIE document request letter leaves no doubt of examiners’ interest in advisory fees. This isn’t a state secret given the topic a...
4/03/2019 | Content area: Investment Adviser
This is another example of a recent OCIE document request letter sent to an RIA.
4/02/2019 | Content area: Investment Adviser
This is a copy of an OCIE exam letter that went recently to an investment adviser.
4/01/2019 | Content area: Investment Adviser | Private Fund
This is a recent exam letter received by an investment adviser that features private funds.
3/29/2019 | Content area: Investment Adviser
A source passes on to us the document request letter that went to an adviser as part of OCIE's third cybersecurity sweep exam.
3/28/2019 | Content area: Investment Adviser
Last month we reported that the SEC’s latest cybersecurity sweep exam is in full swing (IA Watch, March 14, 2019). Now IA Watch shares with you a copy...
3/22/2019 | Content area: Investment Adviser
A peer shares the questions OCIE examiners asked in a document request letter to the advisory firm in an exam initiative directed at registered invest...


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