Examinations

Examiners displayed their interest in how the adviser was approaching compliance with revised Regulation S-P

Prepare for your next SEC exam by examining what DOE is asking other advisers

You could almost hear a sigh of relief breathed by CCOs at dual registrants who have had to respond to separate SEC and CFTC exams ...

If there’s going to be a run on the (non)bank, no one in Washington will be left holding the bag.

"To avoid duplicative examinations, the Parties will strive to conduct coordinated exam planning, joint or aligned examinations where appropriate, and share exam findings and supervisory ...

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 ...