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Examinations: Best Practices (240)
Your search for Examinations: Best Practices returned 240 results.
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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...
5/02/2019 | Content area: CPO/CTA
The recent NFA exam of a CPO adviser in the south went swimmingly, according to the firm’s CCO. One reason may be because the firm doesn’t have an ext...
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...
1/17/2019 | Content area: Investment Adviser
IA Watch has obtained a copy of an Excel file demonstrating the trade blotter format OCIE would like firms to submit during an SEC exam.   The new for...
1/10/2019 | Content area: Broker-Dealer
Seeing continued “problematic” cybersecurity practices in its examination and risk monitoring program, FINRA has stepped in with a new report detailin...
1/04/2019 | Content area: Investment Adviser
Click here to open an Excel file that is described as OCIE's latest request for how examined firms should construct their trade blotters. This comes c...
12/20/2018 | Content area: Broker-Dealer
FINRA has again delivered an early holiday present for the brokerage industry in the form of the SRO’s 2018 Report on Examination Findings. The second...
12/20/2018 | Content area: Investment Adviser
This is OCIE's exam priorities for 2019.
11/15/2018 | Content area: Investment Adviser
The SEC has upped its game with respect to investment adviser examinations given the ever-increasing number of registered IAs and one of its commissio...
11/13/2018 | Content area: Investment Adviser
As OCIE demonstrated recently with its cash-solicitation risk alert (IA Watch, Oct. 31, 2018), advisers often fail to show they’ve done due diligence ...
9/20/2018 | Content area: Investment Adviser
No one’s surprised to learn that OCIE will check to see if an adviser is charging proper fees. What might astonish is that a lot of clients are enjoyi...
9/13/2018 | Content area: Investment Adviser
If you manage a mutual fund, get ready. IA Watch has learned that OCIE has launched an initiative probing advisers of registered funds – and asking lo...
7/05/2018 | Content area: Investment Adviser
Those 13 lucky advisers that recently settled SEC enforcement actions for failing to file required Form PFs haven’t yet shaken the agency (PF Watch, J...
5/31/2018 | Content area: Private Fund
OCIE’s interest in performance advertising reaches into its exams of private equity fund advisers, too.   For instance, you don’t want to say that you...
5/17/2018 | Content area: Investment Adviser
The question came up recently: Could an adviser tape record SEC examiner interviews with staff?   “I understand why somebody would want to” tape exami...
5/17/2018 | Content area: Investment Adviser
After the offices of his private attorney were raided by authorities, President Trump stated that attorney-client privilege is dead in the U.S.   You’...
4/27/2018 | Content area: Investment Adviser
Janaya Moscony of SEC3 Compliance Consultants in New York permits us to share with you her 37 tips for preparing for an SEC exam.
4/17/2018 | Content area: Investment Adviser
Supplemental Information for Entities Directed to Supply Information to the Commission Other Than Pursuant to Commission Subpoena
4/17/2018 | Content area: Investment Adviser
The examination staff of the Office of Compliance Inspections and Examinations (OCIE) of the Securities and Exchange Commission (Commission) has prepa...
4/17/2018 | Content area: Investment Adviser
Karen Huey of Professional Compliance Assistance in Woodstock, Ga., gives us permission to share with you her 18-point guide to an on-site exam by OCI...


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