Examinations: Best Practices

If your firm has never been examined by the SEC, you still may not get a visit even after your number comes up.That's because OCIE ...

No signs presented themselves that an SEC exam would be in the offing, but a New York CCO took OCIE's 2013 exam priorities list and ...

Several recent enforcement actions took firms to task for deficient compliance programs (IA Watch, Oct. 28, 2013). Now it looks like OCIE's asking about compliance ...

It's an old reporter's technique that's made its way into SEC exams. Ask a question and let the air fill with silence, inducing the interviewee ...

For years, OCIE has talked of its use of risk analysis to select advisory firms to examine but perhaps no brighter light has been shined ...

Whether it's an e-mail, proxy service, portfolio management, document repository or some other vendor, your firm likely turns to a third-party to house key records. ...

This SEC document request letter, which went to an advisory firm, is interesting because it appears to mix the agency's approach to a so-called “presence ...

Say your firm must complete Form PF but the task has been delegated to others in your shop. Perhaps you should at least know what ...

This is a short list of items the SEC requested of an advisory firm that was examined.

Click here to open an Excel spreadsheet, prepared by Renaissance Regulatory Services in Boca Raton, Fla., that lists the items requested by the SEC during ...