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Examinations: Best Practices

The latest exam letter reveals a depth of inquiry so far unseen in past cyber reviews
This document request letter comes from a 2022 DOE exam
Factors that go into the initial risk rating include the size of the firm, whether it maintains custody, if it employs many reps across numerous ...
The SEC has never fully revealed its secret sauce for exactly how it decides which advisers to examine but some common factors that go into ...
Examiners can be expected to inquire if compliance staff are “appropriately compensated.” “We’re looking to see if compliance has reasonable resources,” said the SEC official. ...
'Private funds are under the microscope'
The consultant argues that you’ll never be able to beat the array of winning funds available from the TSP nor its lower fees and you ...
Many hot topics will continue, including asset verification (DOE confirmed more than $2 trillion in assets in FY 2021) and climate risks (looking at how ...
From the fine folks at Iron Road Partners (and former SEC examiner Igor Rozenblit) comes these tips on how to handle examinations.   
The pandemic has stretched the length of some exam calls, with some running up to five hours. Ask examiners ahead of a call what type ...
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