It goes back some time, SEC examiners’ interest in GIPS at those firms that claim compliance with those standards (IA Watch, Nov. 22, 2010). The ...
Saying “it’s beyond time to act” on the lack of exams for IAs, SEC Chair Mary Jo White last week said permitting “a program of ...
A private equity fund manager admitted March 16 to stealing more than $8 million from investors, which he was accused of using to pay commissions ...
Just as OCIE did last year before launching its cybersecurity initiative that visited some 100 firms (IA Watch, April 21, 2014), look for the agency ...
It’s well established that examiners will likely question adviser accounts with little trade activity that were moved from 401(k) plans (IA Watch, March 5, 2015). ...
Back in December, SEC Chair Mary Jo White announced a plan to “enhance and strengthen” the Commission’s regulatory programs in response to the ever-changing asset ...
It’s right there in black and white in current SEC exam document request letters. Before arriving on-site at an advisory firm, Commission examiners are seeking ...
When your regulator has embraced a risk-based approach to prioritizing exams, it’s always helpful to know what factors are actively being considered. In a speech ...
While FINRA’s long been interested in supervision of branch offices (IA Watch, Dec. 12, 2011), there are signs OCIE’s taking a deeper interest in this ...
Among the plethora of tools mentioned at IA Watch’s IA Compliance: The Full 360° View conference in Washington, D.C. last month, was a memo provided ...