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Blue circuit board background of computer motherboard and magnifier glass with red zoomed virus zone. Investigation for cybersecurity.
Consulting firm shares tips for when regulators knock on your door
“The Division is providing this information so that advisers may prepare themselves for an examination,” reads DOE’s 7th risk alert of 2023
Examiners seek lists of employees, execs, board members with cyber responsibilities
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RCW has obtained evidence of the division’s latest sweep and it targets advisers that engage in hypothetical performance marketing
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Titan violated the Marketing Rule by advertising hypothetical performance without having adopted and implemented policies and procedures reasonably designed to ensure that the hypothetical performance ...
Job interview
Our periodic recounting of what examiners in the SEC’s Division of Examinations are pursuing in adviser exams samples several new exam request letters obtained by ...
Examiners asking funds about their advisers
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Multiple sources have told RCW that the SEC has launched its long-anticipated Division of Examinations sweep tied to the IA advertising rule, and we’ve gotten ...
Sources describe this DOE exam letter as coming from the SEC's sweep exam tied to the new IA ad rule
'Shockingly low' compliance budgets collide with regulatory demands

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