Examinations

Infinity Q case checks several SEC boxes

Given the frenetic consciousness whipped up by 2020, it would be understandable if you missed our warning last year over so-called “hedge” clauses. But SEC ...

DOE just missed its goal of examining 16% of RIAs in FY 2020, scrutinizing 15% of the RIA population. The plan estimates that DOE will ...

You can compare the new exam request letter with one RCW shared two years ago to see DOE’s evolution regarding ESG. If your firm engages ...

A peer shares a copy of the FINRA exam letter that focused on Reg BI compliance

It’s being able to say to the investment team, ‘If you’re going to make certain statements about considering ESG in the investment process, then you ...

'Deeper reviews' of Reg BI and Form CRS, examinations of CAT compliance coming

Two top SEC staffers have issued a fresh statement on blank-check companies, yet another sign that regulators are worried about irrational exuberance in the booming ...

FINRA has been coordinating with the SEC to make sure exam efforts are not being duplicated

SRO has received good feedback, both internally and externally, on exams restructuring