Content Areas

Search Terms

Category

 See More >

Date Range

From:
To:

Topics

Clear
Examinations (132)
Your search for Examinations returned 132 results.
Sorted by Date

7/05/2019 | Content area: Broker-Dealer
You’re at a small firm and examiners are coming in. What are the issues they are most likely to surface, and what’s the best way to head them off?    ...
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: Broker-Dealer
At least at its annual conference, FINRA goes all out to keep its customers happy. A survey of last year’s event, for example, found one attendee who ...
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...
5/09/2019 | Content area: Investment Adviser
If you’re having difficulty making the case for sufficient resources for your firm’s compliance program, you may want to consider laying the latest sp...
4/18/2019 | Content area: CPO/CTA
CPOs examined by NFA staff beginning this month can expect to be asked about what they’ve done to comply with the SRO’s new internal controls notice. ...
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...
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...
2/14/2019 | Content area: CPO/CTA
Six years after the SEC put out its first exam priorities’ list, the CFTC has followed suit with its inaugural release.   2019 Compliance Branch Exami...
2/12/2019 | Content area: CPO/CTA
For the first time, the CFTC is releasing exam priorities -- like the SEC has done for years. This document outlines the priorities for 2019.
1/28/2019 | Content area: Investment Adviser
If your firm was being examined or about to be when the government shutdown in late December, expect that OCIE will be reaching out soon to reschedule...
1/24/2019 | Content area: Broker-Dealer
FINRA sees growing problems with reps’ discretionary trading, and the range of conduct under scrutiny is broad. The SRO identified discretionary accou...
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...
1/04/2019 | 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...
1/02/2019 | Content area: Investment Adviser
Predictions that OCIE would put out its 2019 exam priorities before 2018 ended proved true (IA Watch, Nov. 13, 2018), as did prognostications that the...
12/20/2018 | Content area: Investment Adviser
This is OCIE's exam priorities for 2019.
12/14/2018 | Content area: Investment Adviser
OCIE encourages advisers to review their risks, practices, policies, and procedures regarding electronic messaging and to consider any improvements to...


Did you find what you were looking for?



Leave your comments below regarding what you are looking for and someone from our team will reach out to help you.


© 2019 PEI Media LLC. ALL RIGHTS RESERVED | PRIVACY POLICY | TERMS & CONDITIONS | ABOUT US | CONTACT US