7/26/2018 | Content area:
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...
7/25/2018 | Content area:
A sources shares with IA Watch a copy of an OCIE document request letter that focuses on how the adviser handles cryptocurrencies.
7/05/2018 | Content area:
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...
6/21/2018 | Content area:
Few parts of the country spar with hurricanes like southeastern Texas. But last year’s Hurricane Harvey slammed Houston and surrounding areas with a r...
4/19/2018 | Content area:
IA Watch has learned that a host of advisers has received letters from the SEC asking them to explain why they haven’t filed Form PF. Negotiations are...
2/13/2018 | Content area:
A peer shares OCIE's target date sweep letter that the firm received.
9/28/2017 | Content area:
The case that spurred FINRA to launch a targeted exam sweep in September 2016 focused on unit investment trust rollovers has now been settled one year...
7/19/2017 | Content area:
This correspondence is another OCIE document request letter that looks at business development companies.
6/29/2017 | Content area:
With cybersecurity risks threatening our privacy, it’s no wonder some would seek technology to shield their communications from prying eyes. But you c...
6/28/2017 | Content area:
A peer at an investment advisory firm that has BDC funds shares a copy of a OCIE sweep exam letter sent to the firm.
6/26/2017 | Content area:
A peer shares a copy of a sweep exam letter that looked at how the advisory firm handles and oversees electronic messaging.
12/15/2016 | Content area:
Along with everyone else in the financial services industry, FINRA has clearly been reading the stories detailing the Wells Fargo’s sales scandal (BD ...
11/23/2016 | Content area:
The SEC has brought its first-ever enforcement action resulting from the Commission’s Asia hiring referral sweep. JPMorgan Chase & Co. will have to pa...
11/03/2016 | Content area:
Cross-selling programs of broker-dealers are now squarely in the crosshairs of FINRA. The SRO announced through the release of a targeted exam letter ...
8/11/2016 | Content area:
FINRA has announced that it is conducting a targeted exam sweep with respect to non-traded business development companies. The SRO is asking that sele...
5/26/2016 | Content area:
FINRA has observed that many broker-dealers are paying more attention to their culture and how they manage conflicts of interest. But “there is still ...
7/15/2015 | Content area:
This is a copy of an SEC sweep exam looking at fixed income portfolios. This was shared by a CCO peer.
6/25/2015 | Content area:
Last week, we alerted you to a new sweep exam by OCIE that digs into firms’ whistleblower policies (IA Watch, June 18, 2015). IA Watch has now obtaine...
6/22/2015 | Content area:
This is a copy of a 2015 OCIE sweep exam document request letter that focused on whistleblower programs and confidentiality agreements.
6/18/2015 | Content area:
An initial sign of potential trouble for a firm under SEC examination is the relationship between business/operations and legal/compliance, said Jina ...