Examinations: Best Practices

Given the frenetic consciousness whipped up by 2020, it would be understandable if you missed our warning last year over so-called “hedge” clauses. But SEC ...

You can compare the new exam request letter with one RCW shared two years ago to see DOE’s evolution regarding ESG. If your firm engages ...

The SEC has long asked advisers for documents related to their clients. Now there’s evidence you may be asked to hand over to examiners materials ...

RCW has obtained a copy of a recent FINRA document request letter for an exam that focused largely on Regulation Best Interest

The good news, examiners found, is that some advisers were on top of their ESG regimes. Regulators offer some tips from the best of the ...

The DOE report tips its hat to CCOs, recognizing that “compliance programs, CCOs and other compliance staff play critically important roles at firms” and provides ...

Having P&Ps in place give staff direction, make them feel safer and can mitigate a firm’s risks. However, making a COVID vaccine a condition of ...

“You’ll see it’s all a show,” Monty Python tells us, “Keep ’em laughin’ as you go/ Just remember that the last laugh is on you.” ...

It’s a confirmed best practice to assess how each alert may be relevant to your firm, and to glean best practices or smart actions on ...

Broker-dealer compliance officers have been handed a scoresheet for preparing for SEC exams checking on compliance with Reg BI via a new statement from the ...