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Examinations: Deficiency Letters (11)
Your search for Examinations: Deficiency Letters returned 11 results.
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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...
7/31/2017 | Content area: Investment Adviser
A peer passes along a copy of the firm's initial document request letter from an SEC exam.
10/06/2016 | Content area: Investment Adviser
Maybe the fourth time’s the charm for Moloney Securities Co. and its President and Chief Investment Officer Joseph Medley, Jr. After three separate SE...
9/29/2016 | Content area: Investment Adviser
A source shares language purported to come from an OCIE exam deficiency letter dealing with the custody issue of moving funds between accounts and cus...
11/25/2015 | Content area: Investment Adviser
Confusion over the custody rule continues to reign more than five years after the SEC revised the rule. And even OCIE examiners don’t always agree on ...
12/17/2012 | Content area: Investment Adviser
What SEC examiners focus on can shift like the sands, depending on what's hot and the type of firm being queried. We've come up with a list of common ...
8/06/2012 | Content area: Investment Adviser
Sterner levels of due diligence by savvy investors, especially institutions, have led to increasing requests for advisers to fork over more documents ...
10/19/2009 | Content area: Investment Adviser
The CCO had been through many regulatory exams over the years but nothing like this one. "They picked apart my fund business," says the CCO at a long-...
8/31/2009 | Content area: Investment Adviser
Recently an investment advisory firm received a stern deficiency letter following an SEC exam for failing to maintain adequate records to back up a po...
6/08/2009 | Content area: Investment Adviser
For years, mostly institutional investors would issue their RFPs to advisers with that one line that would disarm: "Please include a copy of your most...
2/09/2009 | Content area: Investment Adviser
It's clear the SEC is trying to find ways to conduct its oversight role in a cheaper and more efficient manner. One sign is the advent of telephone ex...

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