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Examinations: Best Practices

The deficiency letter received by a firm in the mountain west listed mostly items related to custody, according to a CCO who filled us in ...
Your peers have spoken often of how a recent SEC document request letter has helped them to perform well during an exam, so we have ...
The CCO had been through many regulatory exams over the years but nothing like this one. "They picked apart my fund business," says the CCO ...
Here's a strategy sure to pay dividends prior to your next SEC exam: obtain a copy of your region's latest SEC document request letter and ...
Compliance officers have never felt busier but they need to do a better job of mixing with the business teams and uncovering conflicts. "Unfortunately we're ...
Five new specialized units being created by the SEC's Enforcement Division (IA Watch, Aug. 10, 2009) will be assisted by more sweep exams by the ...
Another legacy of the Madoff case is SEC enforcement and exam staff will be more diligent, cover more bases, spend more time with firms, ask ...
A compliance officer at an RIA alerts us that her firm recently underwent a surprise exam - at the hands of an examiner from her ...
Be forewarned that migrating your firm's staff to a computerized trading clearance system will take longer than you expect, but you'll be rewarded with abundant ...
Sources tell us it's highly unusual for the SEC to revise a sweep-exam letter mid-stream but it appears this is exactly what has happened with ...
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