Examinations: Best Practices

Permit us to share with you six SEC document request letters received recently by IA Watch. They serve to demonstrate common themes across exams but ...

That exam initiative announced last fall by the newly-named OCIE Director Drew Bowden continues to percolate but more time is needed before the agency can ...

That new OCIE exam alert on custody spotlights how firms erred with the rule but also can be an instructive tool you can use to ...

It seems hard to fathom that four years after Madoff and three years after the SEC revised its custody rule in response to the fraudster's ...

Your planning for an SEC exam just got simpler. Until now, OCIE's never released its list of exam priorities - until last month.IAs and other ...

OCIE's National Exam Program staff observations regarding ways in which advisers fail to comply with the Advisers Act custody rule

The phrase appears so often in SEC document request letters that it can be considered ubiquitous: examiners asking to see your "inventory of risks."But what ...

Want more proof we're visual creatures? One of your compliance peers gave a PowerPoint file to SEC examiners just hours after they arrived on site. ...

IA Watch has learned that the SEC has begun examining RIAs with ties to the failed commodity custodian MF Global (IA Watch, May 7, 2012). ...

This is an SEC document request letter that went to a dually registered firm in the eastern part of the U.S.