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“It’s poking the bear. It’s giving the impression of being uncooperative, and the impression that you have something to hide”
Last summer, the SEC released a risk alert designed to help investment advisers prepare for their next DOE exam. Now, the Commission returns the favor ...
'It can be a driver of potential fees,' Dan Faigus tells packed room at Private Funds CFO's compliance event
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This is SEC 2866 that covers rules around providing information during an examination
"Group of college students in the university amphitheatre, they are sitting and doing an exam."
As with exams over the past year, the DOE quizzed about the use of electronic communications for business purposes
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A source tells us of a new inquiry seen in a current exam. Examiners are probing the use of so-called 'shared work platforms,' like Google ...
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This tip sheet for how to handle regulator and examiner interviews comes courtesy of Peter Guarino, president/CCO at Compliance4 in Falmouth, Maine
Private funds' thinking has evolved from "risk management" to "value creation," PwC's Eric Janson says on RCW webinar
'You cannot get deals if you’re not texting and your competitors are,' FirmScribe CEO says from PFCFO New York Forum.
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Gain takeaways from this 2024 SEC exam letter

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