Examinations: Best Practices

One clear takeaway for compliance officers is if your firm claims to invest in accordance with ESG standards, have P&Ps “associated with compliance oversight of ...

A peer shares an SEC exam letter dedicated to ESG

It’s smart to be nimble during an SEC exam. 'Be ready to pivot' and prep your staff that examiners can turn on a dime and ...

The agency will release 'quite a bit of guidance' to help with compliance with the new IA ad rule 'between now and the November compliance ...

When examiners find a compliance issue that appears to have been missed by a firm, it naturally makes them wonder what else the firm hadn’t ...

There have been several recent reports that SEC examiners appear to be giving out more deficiencies. 'It was a book' was how one described a ...

One takeaway: Even if you’re at a private equity fund adviser, be sure your custodian sends quarterly statements to investors—even if the investors have no ...

The DOE states that one topic that could come up on RIA exams is whether “sufficient resources exist to perform compliance duties”

We hope that firms' leadership, including those in compliance, legal, risk, and information security, across the financial services industry will review the priorities and consider ...

The latest exam letter reveals a depth of inquiry so far unseen in past cyber reviews