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More tips for SEC Exam Success

More Tips for SEC Exam Success (3:10)

Published February 27, 2017
Michelle Jacko passes on some exam Do's and Don'ts, plus more tips for success.
 

Tips for Investment Advisers Facing an SEC Exam

Tips for Investment Advisers Facing an SEC Exam (3:51)

Published Oct. 29, 2016
A peer passes on suggestions for making your next exam a success.
 

What Makes for a Great BIC

10 Elements of the BIC under the DOL's Fiduciary Duty Rule (4:56)

Published July 25, 2016
Gain guidance to produce a best interest contract that works for you.
 

Tips for teaching ethics

Tips for teaching ethics (4:21)

Published May 11, 2016
Use simple examples at first. Don't assume staff see things as you do.
 

A Peer Describes His Approach to the Annual Review (4:41)

Published November 15, 2015
Steve Flammey talks about his method of conducting an annual review under SEC Advisers Act rules.
 

IA Watch Reports on What Your Peers are Doing About Cybersecurity (3:22)

Published March 4, 2015
From IA Watch's Feb. 2015 IA Compliance The Full 360 View conference in Washington, D.C., we report on what your peers are doing to bolster their firm's cybersecurity.

Annual Review: IA Watch Interviews David Lui (2:54)

Published December 20, 2014
This Skype interview with Galliard's David Lui provides examples of what to include in your annual review, and how to use the report to bolster your program in the eyes of management.

IA Watch Interviews TD Ameritrade's Skip Schweiss (2:21)

Published September 18, 2014
IA Watch interviews TD Ameritrade's Skip Schweiss in Sept. 2014 on momentum toward getting Congress to pass a user fee bill allowing more SEC exams of advisers and delves into the prospects of SEC action on a new fiduciary duty standard.
 
Part 1 – User Fee Bill (2:21)
Part 2 – SEC Action on New Fiduciary Duty Standard (2:01)

IA Watch Interviews Michelle Jacko of Jacko Law Group (2:42)

Published August 27, 2014
IA Watch interviews Michelle Jacko about steps CCOs can take to prepare, especially compliance staff at never-been-examined firms. This video also includes guidance should on sitting in on examiner interviews, along with actions you can take if you detect a staffer isn't being completely honest with examiners. She discusses how to communicate with examiners about requests and the value of doing your own mock audit.

Part 1 – Preparing for an SEC Exam (2:42)
Part 2 – Mistakes CCOs make with SEC Document Requests (1:31)

IA Watch Interviews former OCIE Chief Counsel John Walsh (1:31)

Published August 6, 2014
IA Watch asks former OCIE Chief Counsel and current Sutherland Partner John Walsh why SEC commissioners haven't acted to clarify compliance risks of liability years after the Ted Urban case, what compliance officers can do to protect themselves against a charge of liability, how compliance officers should react to internal whistleblowers and about how the tenure of OCIE exams is changing.

Part 1 – Compliance Risks of Liability (1:31)
Part 2 – Protection against a charge of Liability (1:42)
Part 3 – Internal Whistleblowers and changing OCIE Exams (2:17)



 

IA Watch Interviews GC/CCO Francine Rosenberger (2:02)

Published May 31, 2014
We ask former outside counsel and current RIA GC/CCO Francine Rosenberger what makes a good compliance officer, common mistakes compliance staff make and handling the challenges of being tri-registered. 

Part 1 – What Defines a Good Compliance Officer (2:02)
Part 2 – Common mistakes Compliance Staff Make (2:35)
Part 3 – Challenges of Being Tri-Registered (1:46) 
 

IA Watch interviews former OCIE Director Drew Bowden (3:24)

Published February 8, 2014
The former director of the U.S. Securities and Exchange Commission's Office of Compliance Inspections and Examinations (OCIE), Drew Bowden, sat down with IA Watch in January 2014 for an exclusive interview, he discusses red flags that can lure examiners to an adviser, mistakes CCOs should avoid during an SEC exam, the agency's mandate that some enforcement settlements require the hiring of a compliance consultant, the ability of CCOs to coach staff prior to an exam and the status of the agency's exam manual and the prospect of it being released publicly.
 
Part 1 – Red flags that can lure examiners to an adviser (3:24)
Part 2 – Mistakes CCOs should avoid during an SEC exam (2:20)
Part 3 – Enforcement settlements that require the hiring of a compliance consultant (1:46)
Part 4 – The ability of CCOs to coach staff prior to an exam (2:05)
Part 5 – The agency's exam manual and the prospect of it being released publicly (1:11) 

 

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