7/05/2019 | Content area:
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:
Summertime and the living is easy, but that’s not why this is an exciting time for the SEC’s
“It’s my favorite time of year,” says the ...
6/27/2019 | Content area:
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:
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:
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:
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:
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:
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:
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:
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:
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:
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:
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:
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:
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:
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:
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:
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:
This is OCIE's exam priorities for 2019.
12/14/2018 | Content area:
OCIE encourages advisers to review their risks, practices, policies, and procedures regarding electronic messaging and to consider any improvements to...