Examinations: Best Practices

As with exams over the past year, the DOE quizzed about the use of electronic communications for business purposes

A source tells us of a new inquiry seen in a current exam. Examiners are probing the use of so-called 'shared work platforms,' like Google ...

A source shares tips and suggestions for how to handle regulator and examiner interviews

"Compliance officers and their staff must remain vigilant and scan the horizon for new and emerging risks to ensure their compliance programs continue to offer ...

A source shares with RCW an SEC exam letter focused on internet services

It's a confirmed best practices to read through recent DOE exam request letters to help you prepare for your next SEC exam

Here's another SEC exam request letter shared with RCW by a source

Gain takeaways from this 2024 SEC exam letter

Eye an SEC exam document request letter from an ongoing exam

The alert recounts the fundamental compliance rules under the SEC’s security-based swaps regime, and points out where some swap dealers are coming up short