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The Enforcement Manual (“Manual”) is a reference for staff in the Division of Enforcement (“Division” or “Enforcement”) of the U.S. Securities and Exchange Commission (“SEC” ...
Richard Chen of Richard L. Chen PLLC in New York shares a checklist to help guide an adviser's annual review of its business continuity plan.
Richard Chen of Richard L. Chen PLLC in New York shares this checklist to help advisers when bringing on new clients.
This exam request letter went to an advisory firm in 2019.
This letter came from a 2019 OCIE exam of an IA.
Richard Chen of Richard L. Chen PLLC in New York shares a checklist to help advisers when it comes to billing and charging client fees.
An adviser shares its recent exam request letter.
This is an SEC document released in April 2019.
This OCIE exam letter features questions aimed at how the adviser handles its senior clients. It also showcases an example of a trade blotter that ...
John Brennan, head of technology at Highfields Capital Management in Boston gives us permission to share his IS policy as reprinted in the book, The ...
This is another example of a recent OCIE document request letter sent to an RIA.
OCIE Exam Priorities - Regulatory Compliance Watch
This is a copy of an OCIE exam letter that went recently to an investment adviser.
This is a recent exam letter received by an investment adviser that features private funds.
A source passes on to us the document request letter that went to an adviser as part of OCIE's third cybersecurity sweep exam.
A peer shares the advisory firm's guidelines for fixed income management. You could view this as an investment policy statement.
A peer shares the advisory firm's IM agreement.
The International Securities Services Association grants IA Watch approval to share with you its cybersecurity glossary. It urges you to visit its web pages: https://www.issanet.org/e/pdf/2018-10_ISSA_Cyber_Risk_in_Securities_Services.pdf ...
This is a glossary of key cybersecurity terms.
A peer shares the questions OCIE examiners asked in a document request letter to the advisory firm in an exam initiative directed at registered investment ...
Form N-2 is to be used by closed-end management investment companies, except small business investment companies licensed as such by the United States Small Business Administration, ...
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