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Examinations: Best Practices

Gurbir Grewal's SEC headshot
"If new rules impact your operations or if recent enforcement actions highlight risk areas relevant to your business, it means evaluating whether you need to ...
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This is SEC 2866 that covers rules around providing information during an examination
"Group of college students in the university amphitheatre, they are sitting and doing an exam."
As with exams over the past year, the DOE quizzed about the use of electronic communications for business purposes
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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 ...
Business people talking in office
A source shares tips and suggestions for how to handle regulator and examiner interviews
Securities and Exchange Commission, SEC, Building in Washington DC. The SEC regulates stocks and bonds and related financial activities.
"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 ...
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A source shares with RCW an SEC exam letter focused on internet services
Business people sitting in boardroom and working together at new strategy plan. Group of leader and businesspeople in a meeting at office. Senior executive with his team working in a conference room.
It's a confirmed best practices to read through recent DOE exam request letters to help you prepare for your next SEC exam
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Here's another SEC exam request letter shared with RCW by a source
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Gain takeaways from this 2024 SEC exam letter
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