Examinations: Best Practices

The first risk alert from OCIE in 2018 lists fee and expense issues that commonly cause exam deficiencies.   “Advisers should review their practices, policies, ...

Although the SEC’s proposed target date fund rule never became final, the lack of regulation hasn’t deterred OCIE. IA Watch has obtained a document request ...

While OCIE has had its ReTIRE initiative in place for three years, a new document request letter reveals a twist (IA Watch, June 25, 2015) ...

A peer shares the firm's initial document request letter.

Many signs point to the SEC upping their exams of IAs. Earlier this year, there was a prediction of a 25% increase in IA exams ...

OCIE has released its 6th risk alert this year. The latest one doesn’t give municipal advisors a good compliance grade.   In Observations from Municipal ...

Recent OCIE document request letters obtained by IA Watch may be left to speak for the agency on the issue

The word’s being heard throughout many recent SEC exams. While most exams may be shorter and less intensive, expect that OCIE will want to interview ...

This is the SEC's guide to sharing exam and other documents with OCIE via the agency's encrypted e-mail system.

Accellion is a secure file transfer tool that enables you to send and receive encrypted information to/from SEC staff members using a special electronic mailbox. ...