Examinations

SEC settlement highlighted compliance review failures, the CCO's communications with a rep, and the ultimate resolution

A change impacts the timing of follow up with firms on exam findings that were not highly material

The RIAs are 'essentially caught between two regulators'

The Division is providing this information to help municipal advisors better understand the examination process and prepare for an examination

The rash of SEC enforcement actions against advisers for marketing mishaps means when Commission staff talk about what not to do, it’s time to listen

Take these steps and produce 'the most effective annual review that you could do'

SEC examiners are looking at compliance with newly effective rules, use of technology, cybersecurity, crypto assets and artificial intelligence

'The SEC is always very focused wherever there’s fast-growing activity. I think we’re seeing that focus in particular because private credit is a fast growing ...

One of the areas sure to be scrutinized on exam is whether you address compliance issues 'promptly … when identified'

This Risk Alert provides some insight regarding the examination process for funds and includes an attachment outlining the types of documents and information that are ...