Examinations

Our source describes the new document request letter from an ongoing exam as representative of a nationwide sweep by DOE examiners

A source shares with RCW a copy of a new DOE exam letter described as a new sweep exam tied to the new IA marketing ...

'Historically, these have been the major areas that have been stressed during marketing cycles, and I think the SEC has noticed that'

Two months ago, RCW revealed that the SEC’s Division of Examinations has launched a sweep exam related to advisers’ use of artificial intelligence—but we weren’t ...

RCW has obtained a copy of the SEC Division of Examinations' sweep exam letter tied to AI or artificial intelligence

It’s the first time in the 12 years that the exam division has released its annual exam priorities that they’ve appeared the year before they ...

This is the SEC's Division of Examinations' 2024 exam priorities, released in October 2023

While the exam did ask about due diligence of third-party vendors, Patel contends the exam team went too far in inquiring whether the adviser tracks ...

Consulting firm shares tips for when regulators knock on your door

“The Division is providing this information so that advisers may prepare themselves for an examination,” reads DOE’s 7th risk alert of 2023