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Examinations: Best Practices
Click here to open an Excel file that displays the SEC's preferred method for laying out a blotter. You'll find three types: 1. Equities 2. ...
The latest crop of SEC document request letters reveals a focus on private funds, a better tailoring of requests to a firm's business as well ...
Click here to open an Excel file that comes courtesy of Vista 360, a Milwaukee-based consulting firm. This is a matrix formed around a typical ...
While examiners may be singing from the same sheet of music thanks to the new exam manual (IA Watch, Feb. 6, 2012), the notes may ...
Signs of smoother cooperation between the Enforcement Division's Asset Management Unit and OCIE can be seen in the record number of hedge fund and investment ...
It's taken a year but OCIE has finally finished its national exam manual. But don't look for it to be released publicly until after regional ...
In recognizing that the use of social media by investment advisers is "rapidly accelerating," the SEC last week timed the announcement of an enforcement action ...
Create a welcome kit in case SEC examiners drop by your office out of the blue. You could keep it with the receptionist, who could ...
Click here to open a Word file that comes courtesy of Jeffrey Squires of Vista360 in Milwaukee. This document lays out a strategy for tackling ...
A law firm recently put out an alert stating it has encountered at least eight Department of Labor investigations in recent months. Most of these ...