Examinations: Best Practices

If a CCO is denied access to the information she needs to adequately determine the firm's risks, this stands out like a full moon on ...

Beginning next month, branch managers within OCIE will be known as "exam managers" and will be accompanying examiners in the field, the latest modification in ...

This is an SEC exam roadmap for RIAs prepared by Linda Shirkey of The Advisor’s Resource in Houston.

This is a list shared courtesy of Karen Huey of Professional Compliance Assistance in Canton, Ga., designed to help mid-sized advisers switching to state registration ...

IA Watch has learned that advisers from Miami to L.A. recently received "limited-scope" exam request letters from the SEC. Like the so-called Chicago letter (IA ...

IA Watch has obtained four new exam document request letters, one directed at an adviser to a private fund, a second sent to an RIA ...

At first, the request shocked the firm. Examiners wanted to see a sampling of the DBA bank statements of scores of independent reps that the ...

Victoria Hogan, president of NorthPoint Compliance in Red Bank, N.J., shares a list of questions compliance staff can anticipate traders may be asked during an ...

One firm felt the heat over GIPS compliance. Another was scrutinized for its actions to prevent insider trading. A third found its most recent exam ...

The days of SEC regional offices conducting their own style of exams may be drawing to a close. OCIE continues to move toward putting a ...