Examinations

It’s smart to be nimble during an SEC exam. 'Be ready to pivot' and prep your staff that examiners can turn on a dime and ...

The agency will release 'quite a bit of guidance' to help with compliance with the new IA ad rule 'between now and the November compliance ...

When examiners find a compliance issue that appears to have been missed by a firm, it naturally makes them wonder what else the firm hadn’t ...

There have been several recent reports that SEC examiners appear to be giving out more deficiencies. 'It was a book' was how one described a ...

One takeaway: Even if you’re at a private equity fund adviser, be sure your custodian sends quarterly statements to investors—even if the investors have no ...

'We prefer not to hear a "check-the-box" presentation,' Polite says

The DOE states that one topic that could come up on RIA exams is whether “sufficient resources exist to perform compliance duties”

There are 21 focus items reflected in the 2022 Report on FINRA's Examination and Risk Management Program report

Ahead of proposed audit rule, staff has gone deep on audit trail

The SRO flags over 20 different focus areas, including nearly a half dozen issues it will be eyeballing this year