Home Examinations: Best Practices
Examinations: Best Practices
We told you that so-called Chicago letter was getting around, and that the New York Regional Office of the SEC was giving it a test ...
A CCO could feel as if he's pulled in a thousand directions after SEC examiners take up position in the firm. Of course, you can't ...
Click here to open an Excel file that can serve as a template for tracking documents needed for an SEC exam. This tool comes courtesy ...
The newest SECdocument request letter that we share with you at www.iawatch.com hails from OCIE headquarters in Washington. It illustrates the interest examiners are taking ...
It may stick out in an examiner's mind if your firm spends gobs of cash for the spiffiest technology for business purposes but relegates compliance ...
A Midwest RIA weeks ago hosted six SEC examiners for three days. They left sooner than expected, and the CCO believes they scooted because of ...
Earlier this year we alerted you to a new type of SEC document request letter out of the agency's Chicago Regional Office (IA Watch, Jan. ...
The distance between today's headlines and the topics in an SEC exam doesn't diverge much. IA Watch has obtained a document request letter from a ...
It could prove the ultimate in exam preparation: a guide to OCIE's exams from the SEC's Office of Compliance Inspections and Examinations itself. The division ...
There's no question you must respond seriously and swiftly when you receive a document request letter from the SEC. But this doesn't mean the agency ...