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Examinations: Best Practices

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In a few days, the SEC will have answers from most advisers about their use of the new ad rule via several new Form ADV ...
FINRA provides practices firms may want to consider when evaluating their social media influencer programs and privacy obligations
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An SEC document request letter from a new exam of an investment adviser obtained by RCW reveals another sign of what will be scrutinized when ...
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This SEC exam letter from 2023 probes fees and advertising
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It just may be more anticipated than a Hollywood blockbuster: How will SEC examiners press advisers on complying with the new advertising rule?
Report addresses a materially broader range of topics than in prior years with two dozen focus areas flagged
Cyber is flagged as a "selected highlight" in FINRA's new Examination and Risk Monitoring report as risk increases
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It doesn’t appear SEC examiners interest in advisers that pursue ESG strategies is dulling. RCW has obtained two new Division of Examinations document request letters ...
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A source shares with RCW a new DOE document request letter for an exam that focused on ESG
This second in a new series on exams conducted by the SEC’s Division of Examinations shares strategies for acing your next one

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