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SEC Examinations (130)
Your search for SEC Examinations returned 130 results.
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5/23/2019 | Content area: Investment Adviser
Come July, Richard Cody will report to federal prison to begin serving a two-year sentence for investment adviser fraud. But his elderly victims will ...
5/16/2019 | Content area: Investment Adviser
Similar to about 40% of advisers, the firm indicated on its Form ADV, Part 1 that it has custody. But when OCIE examiners showed up for the first time...
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...
4/16/2019 | Content area: Investment Adviser
With cybersecurity as hot as a black hole, it’s no surprise that OCIE wants advisers to take a new look at their cybersecurity P&Ps as well as how the...
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...
4/03/2019 | Content area: Investment Adviser
This is another example of a recent OCIE document request letter sent to an RIA.
4/02/2019 | Content area: Investment Adviser
This is a copy of an OCIE exam letter that went recently to an investment adviser.
4/01/2019 | Content area: Investment Adviser | Private Fund
This is a recent exam letter received by an investment adviser that features private funds.
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...
3/21/2019 | Content area: Investment Adviser
Back in December, we reported that sources were stating that the SEC was pivoting a bit from its focus on 12b-1 fees and share class allocations (see ...
3/21/2019 | Content area: Investment Adviser
It’s hard to get a handle on how many advisers receive 12b-1 fees for placing clients in certain mutual fund share classes. Look to Form ADV data and ...
3/21/2019 | Content area: Investment Adviser
It can be difficult to determine when an aging client is slipping into dementia and advisers can feel pressured that unnecessarily raising an alarm co...
3/19/2019 | Content area: Investment Adviser
The SEC orders the recipient to preserve records and to submit information to help the agency's investigation.
3/19/2019 | Content area: Investment Adviser
This letter goes beyond 12b-1 fees to look at broader "revenue sharing."
3/14/2019 | Content area: Investment Adviser
OCIE chalked up more than 2,000 IA exams in FY 2018, visiting 17% of all firms. These numbers may be out of reach in FY 2019 (IA Watch, Jan. 10, 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...
1/17/2019 | 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...
1/10/2019 | Content area: Investment Adviser
The New Year starts with advisers facing OCIE exams left wondering what they should do. And they’re not alone.   Marlon Paz used to work at the SEC. H...


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