SEC Examinations for investment advisers | Regulatory Compliance Watch

SEC EXAMINATIONS FOR INVESTMENT ADVISERS

Agreements shouldn’t prohibit whistleblowers

Investment Advisers September 13 2023

Prepare for an SEC exam: Latest risk alert

Investment Advisers September 7 2023

Cleanup housework concept. Closeup cleaning woman sweeping wooden floor with red small whisk broom and dustpan indoor

Enforcement sweep: hypothetical performance

Investment Advisers August 24 2023

A business man standing and staring at a blank billboard advertisement.

Adviser settles marketing enforcement case, pays more than $1m

IA Rules & Regulatory Actions August 21 2023

SEC exam recap: What to be ready for

Investment Advisers August 17 2023

Low Section Of Female Janitor Sweeping Crumbled Paper On Floor With Broom

Sources: advertising exam sweep underway

Investment Advisers August 10 2023

DOE Ad Sweep Exam Letter

IA Compliance Toolbox August 10 2023

Compliance tips if you’re wed to wrap fee programs

IA Latest News July 27 2023

A photo of a business meeting in a modern office with large windows. A businessman is standing up while his colleagues are sitting down. They are smartly dressed. Horizontal daylight indoor photo.

DOE document request exam letter

IA Compliance Toolbox July 27 2023

Senior Architect with his team reviewing blueprint in the office. Looking at digital tablet and blueprints.

DOE document request exam letter

IA Compliance Toolbox July 27 2023

New DOE exam letter

IA Compliance Toolbox July 20 2023

Group of business people is working on new business strategy with a financial analyst while analyzing financial chart during meeting in the office.

SEC exam letter

IA Compliance Toolbox July 6 2023

SEC committee approves user fee recommendation

Investment Advisers June 29 2023

Cropped shot of unrecognizable businesspeople using their wireless devices in the office

SEC exam questions related to off-channel communications

IA Compliance Toolbox June 29 2023

SEC Commissioner Peirce has questions about adviser user fee idea

IA Speeches June 26 2023

The SEC's crackdown on custody rule violations has yielded five new enforcement cases, all of them small private fund advisers.

More insights into advertising examinations

Investment Advisers June 15 2023

Examinations Focused on Additional Areas of the Adviser Marketing Rule

IA Rules & Regulatory Actions June 9 2023

Hands giving & receiving money - United States Dollars (or USD) bills

SEC committee to vote on exam user fees

Investment Advisers June 8 2023

Shot of young couple having a consultation with a financial advisor in the office. Group of business persons in business meeting. Three entrepreneurs on meeting in board room. Corporate business team on meeting in modern office. Male manager discussing new project with his colleagues. Company owner on a meeting with two of his employees in his office.

What examiners ask about value added investors

IA Latest News June 8 2023

Multiethnic group of businesspeople sitting together and having a meeting in the office.

Monitor your ‘value added investors’

Investment Advisers June 8 2023

DOE Document Request Letter

IA Compliance Toolbox June 8 2023

Businesspeople gathered in boardroom listen to confident woman business coach or presenter talks, explain infographic shown in flip chart. Educational training and presentation event in modern office

DOE Document Request Exam Letter

IA Compliance Toolbox June 1 2023

A black ethnicity male server technician working back at the office and server room after lockdown

DOE exam letter focused on cybersecurity

IA Compliance Toolbox May 25 2023

Large group of college students doing an exam in the classroom. Mature teacher is walking among them and monitoring.

DOE exam letter to a newly registered adviser

IA Compliance Toolbox May 25 2023

Times Square when 6 ft social distancing was a myth. Captured this while enjoying an open air bus ride in this magnificent and lively place. It is one of the world's busiest pedestrian intersections, and a major center of the world's entertainment industry.

New exam letter: ad rule questions

Investment Advisers May 25 2023

Businessmen with plants

ESG-related questions taken from a DOE document request letter

IA Compliance Toolbox May 18 2023

Video conference concept. Teleconference. Webinar. Online seminar. e-Learning.

SEC staff offers exam tips

IA Latest News May 4 2023

Businesswoman Addressing Work Colleagues In Meeting Around Boardroom Table

Spread your P&Ps to your branches

Investment Advisers April 27 2023

Group of business people cooperating while examining paperwork on a meeting in the office.

Safeguarding Customer Records and Information at Branch Offices

IA Rules & Regulatory Actions April 27 2023

Shot of a senior woman meeting with a consultant to discuss paperwork at home

SEC guidance on IA and B-D standards of care obligations

IA Rules & Regulatory Actions April 27 2023

A wide-angle view of a board room meeting which is all women. They are discussing ideas and working on things together to come up with business opportunities.

Sample new exam advertising questions

Investment Advisers April 20 2023

College students on the exam. Rear view.

SEC brochure about DOE exams

IA Compliance Toolbox April 20 2023

Real Estate concept, judge gavel / lawyer in auction with house model

Example of a DOE deficiency letter

IA Compliance Toolbox April 6 2023

Attractive man in glasses working with multiple electronic devices. Freelancer businessman has laptop and smartphone in hands and laptop on table with charts on screen. Multitasking theme.

RCW exclusive: SEC enforcement letter–e-comm

Investment Advisers March 30 2023

Terms and conditions for employers.Digital contract that describes the working conditions and graphics. Law of observing the rules in society

What to make of DOE disclaimer

Investment Advisers March 30 2023

Big empty mockup Billboard along a highway with forest on background of blue sky with beautiful clouds on a bright sunny day.

Ad rule: The benefit of an ‘evidence locker’

Investment Advisers March 23 2023

Securities and Exchange Commission, SEC, Building in Washington DC. The SEC regulates stocks and bonds and related financial activities.

DOE seeks 20 new examiners

IA Latest News March 23 2023

Businessman point to the laptop looking graph of the company financial statements in the computer screen and together analysis the work room.

User fees: What goes around, comes around

IA Latest News March 9 2023

Students sitting in amphitheater and studying

Marketing rule among SEC ’23 priorities

Investment Advisers February 9 2023

Businessmen reviewing paperwork near glass wall in office

Another peek at exams and advertising

Investment Advisers January 20 2023

Cropped image of depressed man at the psychotherapist. Doctor is making notes while listening to his patient

New DOE Document Request Exam Letter

IA Compliance Toolbox January 19 2023

Millennial businesswoman give handout materials to work team members during flipchart presentation, female speaker or coach share documents to workers, presenter hand papers to consider or analyze

Exams and the new ad rule

Investment Advisers January 12 2023

climb, mountain, difficult, teamwork, challenging

Evidence that can demonstrate your firm’s culture of compliance

IA Latest News January 2 2023

Team of two engineers installing solar panels on roof.

RCW exclusive: concluding series – ESG focus seen in new exam...

Investment Advisers December 22 2022

Second in a series: Tips for mastering an SEC exam

Investment Advisers December 15 2022

In this closeup from inside the vehicle, an unrecognizable driver waits for an unrecognizable police officer as she writes him a speeding ticket. The officer can be seen holding a pad and pen and writing the ticket.

Exam roundup: First of a series – Examples of what’s drawing...

Investment Advisers December 8 2022

Cropped shot of a group of colleagues using their smart phones in synchronicity

RCW exclusive: Eye examiners e-devices questions

Investment Advisers December 8 2022

Young activist holding sign protesting against climate change

ESG compliance tips emerge from outreach

Investment Advisers November 23 2022

Enforcement Director Grewal shares insights into how his division works

IA Speeches November 21 2022

Look for DOE priorities in January

Investment Advisers November 17 2022

Insights into SEC advertising rule exams

Investment Advisers November 17 2022

SEC DOE ESG Document Request Letter

IA Compliance Toolbox November 3 2022

Advertising rule exams promised

Investment Advisers September 22 2022

Examinations Focused on the New Investment Adviser Marketing Rule

IA Rules & Regulatory Actions September 19 2022

Exam alert: Stay current with auditor

Investment Advisers September 15 2022

Recent Observations from Municipal Advisor Exams

Broker-Dealers August 22 2022

DOE ESG Exam Letter

IA Compliance Toolbox July 21 2022

RCW exclusive: ESG: A new SEC request letter

Investment Advisers July 14 2022

New exam letter attests to deepening ESG interest

Investment Advisers June 23 2022

CCOs: Know more than compliance

Investment Advisers June 9 2022

Yes, Virginia, there will be ad rule FAQs

Investment Advisers May 26 2022

Running down exam hot spots

Investment Advisers May 19 2022

SEC Chairman Gensler

SEC Chairman Gensler asks Congress for more money to increase IA...

IA Speeches May 17 2022

SEC exam rundown: Hot exam deficiencies

Investment Advisers April 21 2022

DOE exam letters: Glimpse what PF advisers are being asked

Investment Advisers April 21 2022

PE Fund Adviser SEC Document Request Letter

IA Compliance Toolbox April 21 2022

Private Fund SEC Document Request Letter

IA Compliance Toolbox April 21 2022

Do’s and don’ts around best interest

Investment Advisers April 7 2022

Evidence of deeper fees’ focus

IA Latest News April 7 2022

DOE ’22 priorities: A litany of interests

Investment Advisers March 31 2022

SEC asks for scores of new examiners

IA Latest News March 31 2022

DOE’s 2022 Exam Priorities

IA Rules & Regulatory Actions March 30 2022

RCW Exclusive: DOE’s latest cybersecurity exam letter

Investment Advisers February 24 2022

PF Custody Rule doc request…

IA Compliance Toolbox February 11 2022

SEC OIG suggests exam improvements

Investment Advisers February 3 2022

SEC OIG Report on DOE

IA Compliance Toolbox February 3 2022

Exams end with more than one grade

Investment Advisers January 27 2022

Your peers share strategies for getting the most out of a...

IA Latest News January 24 2022

Exam letter directed at robo-advisor

IA Latest News January 20 2022

Enforcement to eye exam cooperation

Investment Advisers November 4 2021

New DOE alert offers fund do’s and don’ts

Investment Advisers October 28 2021

SEC asks about thrift accounts

IA Latest News October 14 2021

DOE topped exam estimates

IA Latest News October 14 2021

Top 10 exam mistakes to avoid

IA Compliance Toolbox October 11 2021

Interest in ESG seen anew in exam letter

IA Latest News September 2 2021

Third in our series: Recent exam deficiencies and requests

IA Latest News August 19 2021

Examiners: vendor contingencies

IA Latest News August 19 2021

Second of a series: Weather’s hot and so are exam topics

IA Latest News August 12 2021

International: Agreement reached with SEC and Swiss authorities

IA Latest News August 12 2021

RCW exclusive – First of a series: New DOE cybersecurity sweep...

IA Latest News August 5 2021

What’s red hot? ESG and cybersecurity

IA Latest News August 5 2021

DOE’s Driscoll to leave next month

Investment Advisers July 15 2021

SEC exams: Those ‘hedge’ clauses again

IA Latest News June 10 2021

Exam recap: Private funds, cyber and trade blotters focus

Investment Advisers April 29 2021

How the SEC uses industry expertise

Private Funds April 15 2021

SEC issues ESG risk alert

PF Latest News April 9 2021

Former baller defrauded pro clients, SEC says

IA Latest News April 2 2021

DOE checking if compliance has ‘sufficient resources’

Investment Advisers March 11 2021

Those who ignored Form CRS being examined

Investment Advisers March 11 2021

RIAs by the numbers

IA Latest News March 11 2021

DOE’s 2021 exam priorities: Backing CCOs

Investment Advisers March 4 2021

DOE asks about ‘opportunity zones’

Investment Advisers March 4 2021

Lessons from an exam interrupted by COVID

Investment Advisers February 25 2021

GPB Capital vows to fight federal, state charges

Private Funds February 11 2021

OCIE gets a new name

Investment Advisers December 17 2020

Commissioners issue statement on renaming of OCIE

IA Speeches December 17 2020

Exam recap: What OCIE’s asking firms

IA Latest News December 3 2020

OCIE’s interests reflected in new exam letters

IA Latest News December 3 2020

OCIE risk alert tackles IA compliance rule

Investment Advisers November 25 2020

Insights into ‘informed consent’

Investment Advisers November 25 2020

OCIE’s Driscoll talks IA CCO role

Investment Advisers November 25 2020

OCIE Director Pete Driscoll addresses the IA CCO role

Investment Advisers November 21 2020

OCIE sets out expectations for compliance oversight of complex investments

Investment Advisers November 17 2020

OCIE releases ‘multi-branch initiative’ findings

Investment Advisers November 12 2020

OCIE’s new AML sweep exam letter

Broker-Dealers November 5 2020

RCW exclusive: Latest OCIE cyber sweep

Investment Advisers October 8 2020

Resolution of UK-SEC registration issue explained

Investment Advisers October 8 2020

Owner of indebted IA borrowed from clients

IA Latest News October 8 2020

Former CCO barred and fined for backdating exam records

IA Rules & Regulatory Actions October 1 2020

Tips for an OCIE exam during a pandemic

Investment Advisers September 18 2020

Solution found for new UK-based RIAs

Investment Advisers September 17 2020

SEC turns to video during pandemic

Investment Advisers August 27 2020

RCW exclusive: OCIE questions from Reg BI/Form CRS exam

Investment Advisers August 6 2020

RCW exclusive: OCIE examiners by regional offices

Investment Advisers August 6 2020

Exam roundup: What’s hot during the pandemic

Investment Advisers August 6 2020

IAs struggle with Form CRS, SEC finds

IA Latest News August 3 2020

OCIE creates exam team to ‘respond to exigent threats and incidents...

IA Rules & Regulatory Actions July 29 2020

Internet IA charged with failing to produce records

IA Latest News June 11 2020

WEB EXCLUSIVE: Reg BI: Keep the (good) faith

BD Latest News April 13 2020

OCIE risk alert on Form CRS

IA Compliance Toolbox April 7 2020

Prepare: OCIE may ask about your BCP

Investment Advisers March 26 2020

OCIE statement on operations given COVID-19

Investment Advisers March 23 2020

SEC charges trio, claims forging of CCO’s signature

Investment Advisers March 19 2020

Making a change at CCO? OCIE will notice

IA Latest News March 12 2020

More on the SEC and ESG

IA Latest News March 5 2020

Exam recap: What’s hot during OCIE exams

Investment Advisers February 20 2020

OCIE requests staff for fiduciary duty exams

IA Latest News February 13 2020

Prepare for these custody exam questions

Investment Advisers February 6 2020

New OCIE report shares cyber best practices

IA Latest News January 30 2020

OCIE’s Cybersecurity Exam Observations

IA Compliance Toolbox January 27 2020

Exam roundup: What’s hot on recent OCIE exams

IA Latest News January 9 2020

Adherence to fiduciary duty among ’20 exam priorities

Investment Advisers January 7 2020

Regulatory On-site Examination Guide

IA Compliance Toolbox December 5 2019

OCIE hits 15% threshold in IA exams

IA Latest News November 21 2019

A Trade Blotter example requested by OCIE

IA Compliance Toolbox November 13 2019

New advertising rule making its way through the SEC pipeline

IA Latest News September 19 2019

More evidence SEC edging closer to issuing new advertising rule

IA Latest News September 5 2019

Sample OCIE’s interest as seen in recent document request letters

IA Latest News August 15 2019

Take steps to confirm that shareholder services’ fees trace back to...

IA Latest News August 8 2019

OCIE Exam Priorities - Regulatory Compliance Watch

What OCIE’s asking about – plus tips to help you ace...

IA Latest News August 1 2019

OCIE’s watching, so tighten your review of the accuracy of your...

Investment Advisers July 18 2019

OCIE Document Request Letter from the San Francisco Regional Office

IA Compliance Toolbox July 10 2019

OCIE Exam Priorities - Regulatory Compliance Watch

Insight into what goes into selection of an adviser for an...

IA Latest News June 27 2019

A bump in the road for OCIE’s new site to upload...

Investment Advisers June 27 2019

Elderly forced to live off the kindness of others after long-time...

Investment Advisers May 23 2019

OCIE Exam Priorities - Regulatory Compliance Watch

Take heed if you’ve never been examined: Your answers can influence...

IA Latest News May 16 2019

Subscriber requested topic: To reveal or not to reveal: Options if...

Investment Advisers May 16 2019

OCIE Director Pete Driscoll

OCIE Director Pete Driscoll talks about how examiners protect retail investors

IA Speeches April 29 2019

OCIE urges you to revisit privacy policies in second risk alert...

IA Latest News April 16 2019

Exam roundup: Recent OCIE activity attests to interest in fees, expenses,...

Investment Advisers April 11 2019

OCIE Exam Letter received by an investment adviser

IA Compliance Toolbox April 3 2019

OCIE Exam Priorities - Regulatory Compliance Watch

OCIE Document Request letter

IA Compliance Toolbox April 2 2019

OCIE Document Request Letter sent to a private fund adviser

Private Funds April 1 2019

OCIE’s Cybersecurity Sweep #3 Document Request Letter

IA Compliance Toolbox March 29 2019

OCIE’s cybersecurity sweep #3 letter zeroes in on branch offices

IA Latest News March 28 2019

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OCIE exam questions to mutual fund advisers

IA Compliance Toolbox March 22 2019

More signs that revenue sharing will likely be the SEC’s next...

Investment Advisers March 21 2019

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src="data:image/gif;base64,R0lGODlhAQABAAAAACH5BAEKAAEALAAAAAABAAEAAAICTAEAOw==" /><noscript><img width="120" height="70" class="entry-thumb" src="https://www.regcompliancewatch.com/wp-content/themes/Newspaper/images/no-thumb/td_100x70.png" alt=""/>

SEC Letter related to Investigation of Advisers’ Share Class Fees

IA Compliance Toolbox March 19 2019

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/><noscript><img width="120" height="70" alt="" data-src="https://www.regcompliancewatch.com/wp-content/themes/Newspaper/images/no-thumb/td_100x70.png" class="entry-thumb lazyload" src="data:image/gif;base64,R0lGODlhAQABAAAAACH5BAEKAAEALAAAAAABAAEAAAICTAEAOw==" /><noscript><img width="120" height="70" alt="" data-src="https://www.regcompliancewatch.com/wp-content/themes/Newspaper/images/no-thumb/td_100x70.png" class="entry-thumb lazyload" src="data:image/gif;base64,R0lGODlhAQABAAAAACH5BAEKAAEALAAAAAABAAEAAAICTAEAOw==" /><noscript><img width="120" height="70" alt="" data-src="https://www.regcompliancewatch.com/wp-content/themes/Newspaper/images/no-thumb/td_100x70.png" class="entry-thumb lazyload" src="data:image/gif;base64,R0lGODlhAQABAAAAACH5BAEKAAEALAAAAAABAAEAAAICTAEAOw==" /><noscript><img width="120" height="70" alt="" data-src="https://www.regcompliancewatch.com/wp-content/themes/Newspaper/images/no-thumb/td_100x70.png" class="entry-thumb lazyload" 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DOE shares best practices for use of electronic communications

IA Latest News December 14 2018

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OCIE tops goal for examining advisers: Visits 17% of firms in...

IA Latest News November 21 2018

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Exam hot-spots and tips to improve your program

IA Latest News November 21 2018

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Exam hot-spots and tips to improve your program

IA Latest News November 13 2018

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OCIE’s latest sweep exam offers a blueprint of what’s coming

IA Latest News November 12 2018

Risk-Based Examination Initiatives Focused on Registered Investment Companies

Investment Advisers November 8 2018

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SEC Commissioner Hester Peirce believes OCIE examiners should help firms correct...

IA Rules & Regulatory Actions October 30 2018

Compliance Issues Related to Best Execution

IA Compliance Toolbox July 11 2018

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Latest OCIE risk alert instructs what-not-to-do when it comes to best...

IA Latest News July 11 2018

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Clayton asks Congress to bolster exam program by 24 positions

IA Latest News June 8 2018

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SEC Commissioner Hester Peirce discusses OCIE, Enforcement and the SEC mission

IA Rules & Regulatory Actions May 11 2018

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More reasons to scrub the word ‘may’ from your Form ADV...

IA Latest News May 3 2018

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src="data:image/gif;base64,R0lGODlhAQABAAAAACH5BAEKAAEALAAAAAABAAEAAAICTAEAOw==" /><noscript><img width="120" height="70" alt="" data-src="https://www.regcompliancewatch.com/wp-content/themes/Newspaper/images/no-thumb/td_100x70.png" class="entry-thumb lazyload" src="data:image/gif;base64,R0lGODlhAQABAAAAACH5BAEKAAEALAAAAAABAAEAAAICTAEAOw==" /><noscript><img width="120" height="70" alt="" data-src="https://www.regcompliancewatch.com/wp-content/themes/Newspaper/images/no-thumb/td_100x70.png" class="entry-thumb lazyload" src="data:image/gif;base64,R0lGODlhAQABAAAAACH5BAEKAAEALAAAAAABAAEAAAICTAEAOw==" /><noscript><img width="120" height="70" alt="" data-src="https://www.regcompliancewatch.com/wp-content/themes/Newspaper/images/no-thumb/td_100x70.png" class="entry-thumb lazyload" src="data:image/gif;base64,R0lGODlhAQABAAAAACH5BAEKAAEALAAAAAABAAEAAAICTAEAOw==" /><noscript><img width="120" height="70" alt="" data-src="https://www.regcompliancewatch.com/wp-content/themes/Newspaper/images/no-thumb/td_100x70.png" class="entry-thumb lazyload" src="data:image/gif;base64,R0lGODlhAQABAAAAACH5BAEKAAEALAAAAAABAAEAAAICTAEAOw==" /><noscript><img width="120" height="70" alt="" data-src="https://www.regcompliancewatch.com/wp-content/themes/Newspaper/images/no-thumb/td_100x70.png" class="entry-thumb lazyload" src="data:image/gif;base64,R0lGODlhAQABAAAAACH5BAEKAAEALAAAAAABAAEAAAICTAEAOw==" /><noscript><img width="120" height="70" alt="" data-src="https://www.regcompliancewatch.com/wp-content/themes/Newspaper/images/no-thumb/td_100x70.png" class="entry-thumb lazyload" src="data:image/gif;base64,R0lGODlhAQABAAAAACH5BAEKAAEALAAAAAABAAEAAAICTAEAOw==" /><noscript><img width="120" height="70" alt="" data-src="https://www.regcompliancewatch.com/wp-content/themes/Newspaper/images/no-thumb/td_100x70.png" class="entry-thumb lazyload" src="data:image/gif;base64,R0lGODlhAQABAAAAACH5BAEKAAEALAAAAAABAAEAAAICTAEAOw==" /><noscript><img width="120" height="70" alt="" data-src="https://www.regcompliancewatch.com/wp-content/themes/Newspaper/images/no-thumb/td_100x70.png" class="entry-thumb lazyload" src="data:image/gif;base64,R0lGODlhAQABAAAAACH5BAEKAAEALAAAAAABAAEAAAICTAEAOw==" /><noscript><img width="120" height="70" alt="" data-src="https://www.regcompliancewatch.com/wp-content/themes/Newspaper/images/no-thumb/td_100x70.png" class="entry-thumb lazyload" src="data:image/gif;base64,R0lGODlhAQABAAAAACH5BAEKAAEALAAAAAABAAEAAAICTAEAOw==" /><noscript><img width="120" height="70" alt="" data-src="https://www.regcompliancewatch.com/wp-content/themes/Newspaper/images/no-thumb/td_100x70.png" class="entry-thumb lazyload" src="data:image/gif;base64,R0lGODlhAQABAAAAACH5BAEKAAEALAAAAAABAAEAAAICTAEAOw==" /><noscript><img width="120" height="70" alt="" data-src="https://www.regcompliancewatch.com/wp-content/themes/Newspaper/images/no-thumb/td_100x70.png" class="entry-thumb lazyload" src="data:image/gif;base64,R0lGODlhAQABAAAAACH5BAEKAAEALAAAAAABAAEAAAICTAEAOw==" /><noscript><img width="120" height="70" class="entry-thumb" src="https://www.regcompliancewatch.com/wp-content/themes/Newspaper/images/no-thumb/td_100x70.png" alt=""/>

SEC Form 1661

IA Compliance Toolbox April 17 2018

<img width="120" height="70" alt="" data-src="https://www.regcompliancewatch.com/wp-content/themes/Newspaper/images/no-thumb/td_100x70.png" class="entry-thumb lazyload" src="data:image/gif;base64,R0lGODlhAQABAAAAACH5BAEKAAEALAAAAAABAAEAAAICTAEAOw==" /><noscript><img width="120" height="70" alt="" data-src="https://www.regcompliancewatch.com/wp-content/themes/Newspaper/images/no-thumb/td_100x70.png" class="entry-thumb lazyload" src="data:image/gif;base64,R0lGODlhAQABAAAAACH5BAEKAAEALAAAAAABAAEAAAICTAEAOw==" /><noscript><img width="120" height="70" alt="" data-src="https://www.regcompliancewatch.com/wp-content/themes/Newspaper/images/no-thumb/td_100x70.png" class="entry-thumb lazyload" src="data:image/gif;base64,R0lGODlhAQABAAAAACH5BAEKAAEALAAAAAABAAEAAAICTAEAOw==" /><noscript><img width="120" height="70" alt="" data-src="https://www.regcompliancewatch.com/wp-content/themes/Newspaper/images/no-thumb/td_100x70.png" class="entry-thumb lazyload" src="data:image/gif;base64,R0lGODlhAQABAAAAACH5BAEKAAEALAAAAAABAAEAAAICTAEAOw==" /><noscript><img width="120" height="70" alt="" data-src="https://www.regcompliancewatch.com/wp-content/themes/Newspaper/images/no-thumb/td_100x70.png" class="entry-thumb lazyload" src="data:image/gif;base64,R0lGODlhAQABAAAAACH5BAEKAAEALAAAAAABAAEAAAICTAEAOw==" /><noscript><img width="120" height="70" alt="" data-src="https://www.regcompliancewatch.com/wp-content/themes/Newspaper/images/no-thumb/td_100x70.png" class="entry-thumb lazyload" src="data:image/gif;base64,R0lGODlhAQABAAAAACH5BAEKAAEALAAAAAABAAEAAAICTAEAOw==" /><noscript><img width="120" height="70" alt="" data-src="https://www.regcompliancewatch.com/wp-content/themes/Newspaper/images/no-thumb/td_100x70.png" class="entry-thumb lazyload" src="data:image/gif;base64,R0lGODlhAQABAAAAACH5BAEKAAEALAAAAAABAAEAAAICTAEAOw==" /><noscript><img width="120" height="70" alt="" data-src="https://www.regcompliancewatch.com/wp-content/themes/Newspaper/images/no-thumb/td_100x70.png" class="entry-thumb lazyload" src="data:image/gif;base64,R0lGODlhAQABAAAAACH5BAEKAAEALAAAAAABAAEAAAICTAEAOw==" /><noscript><img width="120" height="70" alt="" data-src="https://www.regcompliancewatch.com/wp-content/themes/Newspaper/images/no-thumb/td_100x70.png" class="entry-thumb lazyload" src="data:image/gif;base64,R0lGODlhAQABAAAAACH5BAEKAAEALAAAAAABAAEAAAICTAEAOw==" /><noscript><img width="120" height="70" alt="" data-src="https://www.regcompliancewatch.com/wp-content/themes/Newspaper/images/no-thumb/td_100x70.png" class="entry-thumb lazyload" src="data:image/gif;base64,R0lGODlhAQABAAAAACH5BAEKAAEALAAAAAABAAEAAAICTAEAOw==" /><noscript><img width="120" height="70" alt="" data-src="https://www.regcompliancewatch.com/wp-content/themes/Newspaper/images/no-thumb/td_100x70.png" class="entry-thumb lazyload" src="data:image/gif;base64,R0lGODlhAQABAAAAACH5BAEKAAEALAAAAAABAAEAAAICTAEAOw==" /><noscript><img width="120" height="70" alt="" data-src="https://www.regcompliancewatch.com/wp-content/themes/Newspaper/images/no-thumb/td_100x70.png" class="entry-thumb lazyload" src="data:image/gif;base64,R0lGODlhAQABAAAAACH5BAEKAAEALAAAAAABAAEAAAICTAEAOw==" /><noscript><img width="120" height="70" alt="" data-src="https://www.regcompliancewatch.com/wp-content/themes/Newspaper/images/no-thumb/td_100x70.png" class="entry-thumb lazyload" src="data:image/gif;base64,R0lGODlhAQABAAAAACH5BAEKAAEALAAAAAABAAEAAAICTAEAOw==" /><noscript><img width="120" height="70" alt="" data-src="https://www.regcompliancewatch.com/wp-content/themes/Newspaper/images/no-thumb/td_100x70.png" class="entry-thumb lazyload" src="data:image/gif;base64,R0lGODlhAQABAAAAACH5BAEKAAEALAAAAAABAAEAAAICTAEAOw==" /><noscript><img width="120" height="70" alt="" data-src="https://www.regcompliancewatch.com/wp-content/themes/Newspaper/images/no-thumb/td_100x70.png" class="entry-thumb lazyload" src="data:image/gif;base64,R0lGODlhAQABAAAAACH5BAEKAAEALAAAAAABAAEAAAICTAEAOw==" /><noscript><img width="120" height="70" alt="" data-src="https://www.regcompliancewatch.com/wp-content/themes/Newspaper/images/no-thumb/td_100x70.png" class="entry-thumb lazyload" src="data:image/gif;base64,R0lGODlhAQABAAAAACH5BAEKAAEALAAAAAABAAEAAAICTAEAOw==" /><noscript><img width="120" height="70" alt="" data-src="https://www.regcompliancewatch.com/wp-content/themes/Newspaper/images/no-thumb/td_100x70.png" class="entry-thumb lazyload" src="data:image/gif;base64,R0lGODlhAQABAAAAACH5BAEKAAEALAAAAAABAAEAAAICTAEAOw==" /><noscript><img width="120" height="70" alt="" data-src="https://www.regcompliancewatch.com/wp-content/themes/Newspaper/images/no-thumb/td_100x70.png" class="entry-thumb lazyload" src="data:image/gif;base64,R0lGODlhAQABAAAAACH5BAEKAAEALAAAAAABAAEAAAICTAEAOw==" /><noscript><img width="120" height="70" alt="" 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SEC Form 2389: Examination Information

IA Compliance Toolbox April 17 2018

Real estate advisers: Have an answer if examiners question your right...

Investment Advisers April 12 2018

OCIE’s latest risk alert recommends advisers review how they calculate client...

Investment Advisers April 12 2018

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Lower percentage of exams referred to Enforcement but numbers roughly the...

IA Latest News April 6 2018

Court records indicate why OCIE decided to examine F-Squared

Investment Advisers March 29 2018

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