Examinations: Best Practices

The announcement of the never-been-examined initiative isn't the only new development out of OCIE (IA Watch, Feb. 24, 2014). This month, examiners will begin using ...

Staff at advisory firms that have never been examined can have an unrealistic view of the process. Janaya Moscony recalls the client who received his ...

This is a copy of an SEC document request letter that went to a private equity fund adviser in late 2013. This comes from an ...

This is a copy of an SEC document request letter that went to a private fund adviser in 2013. This is a so-called “presence exam” ...

If you're your firm's CCO, know that your letter could be in the mail. Last week OCIE released a three-page letter bound for senior executives ...

The way mutual funds are sold has changed greatly since the SEC issued its fund supermarket "no-action letter" in 1998. Then OCIE promised to "closely ...

This is a copy of an SEC document request letter that went to an adviser in late 2013. This is described by Janaya Moscony of ...

This letter, released by OCIE in 2014, was meant for firms that had never been examined. It details OCIE's initiative to visit some of these ...

Whether you've never been examined by the SEC or it's old hat to you, here are some pointers that could positively influence the final results ...

Take it as a given that OCIE examiners will seek to understand the organizational structure of your compliance department, ask about your budget and request ...