Examinations

Regulators seek trading documents, P&Ps, internal communications

The SRO is on track to deliver its 2022 examination and risk monitoring report in early January

Registered advisers struggle with registration, fees, valuations, conflicts of interest and MNPI, Commission data shows

P&Ps untried, untested, Commission warns in new risk alert

The "tide-turning reforms" expected after Reg BI took effect have yet to fully materialize

Focus areas should serve as a useful guide for shoring up compliance weaknesses

SEC examiners are focusing on private funds’ compliance with the custody rule, and outside auditors may not be helping, a compliance expert cautions. “We’re seeing, ...

'Private funds are under the microscope'

FINRA seeks firms' P&Ps, compliance memoranda, and other internal guidance concerning SPAC-related activities

From the fine folks at Iron Road Partners (and former SEC examiner Igor Rozenblit) comes these tips on how to handle examinations.