Examinations: Best Practices

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 ...

Large-volume investment advisers and broker-dealers should take a fresh look at their compliance manuals and policies and procedures to make sure they’re getting right with ...

Lesson: Communicate with the entire team. Some examiners may be left out of the communications chain given they’re all working virtually

You could use this as a template to help track your document production during your next OCIE exam

Keep your documentation of employee compliance training. Examiners asked for it, as well as a list of all principal transactions, cross trades and any loans ...

The list below contains a sample of observed practices that that may assist advisers in designing and implementing policies and procedures under the Compliance Rule

This checklist comes courtesy of Janaya Moscony of SEC3 Compliance Consultants

The latest sweep exam letter reveals a growing sophistication in OCIE’s grasp of cybersecurity

Any CCO should sit in on employee video calls with the SEC, just as a compliance officer—or other firm examination liaison—should be in the room ...