Examinations: Best Practices

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 ...

A copy of an SEC document request letter from May 2009.

A new product. A new type of security. A revised compensation model within your firm. These are all potential breeding grounds for conflicts of interest. ...

The SEC's first regional CCOutreach meeting since the market meltdown, Madoff, Stanford and the rest reflected the times. The Dallas gathering May 11 focused on ...

The SEC's model template letter it sends to clients during exams in an effort to verify assets.

Beyond the usual suspects - all compliance policies and procedures, information on testing and compliance reviews and records of violations of the code of ethics ...

Copy of agenda and CCOutreach materials from SEC for 2009 meetings.

A 2009 SEC document request list from an exam of a dually registered investment advisory and broker-dealer.

The SEC has announced that it will hold new IA CCOutreach seminars beginning May 11 and ending in July in 10 cities stretching from Miami ...

When conducting due diligence, you certainly could start by calling a party's references, but don't stop there. The wiser course would be to look over ...