Examinations

As with exams over the past year, the DOE quizzed about the use of electronic communications for business purposes

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 ...

A source shares tips and suggestions for how to handle regulator and examiner interviews

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.

Gain takeaways from this 2024 SEC exam letter

Eye an SEC exam document request letter from an ongoing exam

Topics flagged as "new for 2024" include crypto, OTC quotations in fixed income securities, advertised volume and the market access rule

The alert recounts the fundamental compliance rules under the SEC’s security-based swaps regime, and points out where some swap dealers are coming up short

Gain takeaways from the latest SEC risk alerts