Examinations

The case shows regulators can still move aggressively

FINRA is reducing unnecessary burdens regarding the use of negative consent for the bulk transfer or assignement of customers' accounts

The SEC examiner said 'we’re going to want to talk with several people' during an exam

Nearly one in five SEC staffers has fled the agency in less than a year. It only looks like relief.

Want to get a sense of what SEC examiners are asking private fund advisers? Check out this recent DOE letter that sources have shared with ...

Prepare for your next SEC exam by seeing what examiners are interested in

A very limited number of personnel will be able to respond to emergency situations involving market integrity and investor protection, including law enforcement

In this new world of deep fakes, it’s nice to know you can confirm someone is who they claim to be. Like an SEC examiner

It seldom fails. If compliance vows to do something and the firm neglects to follow through, it’s a sure bet an SEC examiner will take ...

'If the disclosures were misleading or conflicts weren’t properly disclosed and it resulted in inflated fees, then you could see enforcement activity,' Weil, Gotshal & ...