Examinations: Best Practices

The SEC doesn't require you to disclose that your firm's e-mails may be monitored, but this could be seen as a best practice. We recently ...

That controversial tactic by SEC examiners to reach out to clients during exams and ask them about the safety of their assets may have staying ...

By now you've heard about the Evergreen Investment Management case and the SEC's settlement with the Boston-based firm for more than $40 million. But perhaps ...

Satisfying the SEC when it comes to valuation begins with having policies and procedures that are consistent and take into account contingencies, but the job ...

Examples of a quarterly report of personal securities transactions and a personal trading quarterly report form courtesy of Robert Lavigne at GW & WADE in ...

Responding to an RFP by stating that your firm's most recent SEC exam ended with "no material weaknesses or deficiencies" could be misleading and violate ...

A copy of the SEC's 2009 CCOutreach documents on custody and the Division of Investment Management's summary of recent SEC rulemaking.

Once again the SEC is showing other federal agencies how to chart new ground in the electronic age. The agency offers three Twitter accounts - ...

The controversial tactic of reaching out to advisory firm clients has become more real with the release of a four-page document the SEC states is ...

OCIE examiners descended upon one advisory firm in force in recent weeks. After they left, the CCO concluded "it went very well." One reason: the ...