Examinations: Best Practices

This is an example of a DOE document request letter issued to a newly registered investment advisory firm

The new request shared with RCW asks the adviser if it updated its P&Ps for the new ad rule and, if not, to explain why

A peer shares questions about ESG taken from a recent DOE exam

“Have you kept up with the pace of regulatory change?” asked the SEC official. Your compliance P&Ps should “reflect those regulatory changes”

Still no sign that a widely anticipated SEC sweep looking at compliance with the new advertising rule has commenced. Yet examiners are asking lots of ...

This is the SEC's brochure that outlines its examination program for registrants

This is an example of a real deficiency letter following a DOE exam

Examiners will use the releases. “If you ignore what’s being said, you do so at your own peril”

In a few days, the SEC will have answers from most advisers about their use of the new ad rule via several new Form ADV ...

FINRA provides practices firms may want to consider when evaluating their social media influencer programs and privacy obligations