Examinations: Best Practices

A peer shares a new SEC exam document request letter

RCW has obtained questions SEC examiners ask related to off-channel communications

RCW has obtained a new SEC exam document request letter. While the scope of the exam looked at topics well beyond the ad rule, it’s ...

These items are taken from a recent DOE exam request letter that focused on cybersecurity

You’re advised to ensure that your disclosures around use of testimonials and endorsements are sound, according to a new risk alert from the SEC’s Division ...

This is the DOE's second risk alert tied to the new IA ad rule

RCW has obtained recent SEC exam document request letters. Here’s a sampling of what some of the letters sought on advisers and their so-called value ...

Some people deserve special attention. Members of one group worthy of yours are “value added investors”

A peer passes on an adviser's recent DOE exam document request letter

RCW shares questions from a recent DOE advisory firm exam that focus on the firm's organizational structure and its key personnel