Examinations

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

SEC to be remote through Jan. 3, sources say

One in five deficiencies linked to suitability, NASAA says

Funds face 'stress-test'

How firms manage their obligations related to information collected from acquired customers is also being sought

Chairman talks market structure, gamification, disclosures, China, ESG, fee disclosures, cybersecurity, exams.

This new one asks for the adviser’s “internal definition of any terms that relate to” environmental, social and governance and socially responsible investing

Safeguards Rule P&Ps, implementation trip up eight firms

The pandemic has stretched the length of some exam calls, with some running up to five hours. Ask examiners ahead of a call what type ...

A fresh batch of SEC exam and deficiency letters has come into RCW from various sources. In part 3 of our series on hot exam ...