Examinations

Prepare for your next SEC exam by seeing what examiners are interested in

A very limited number of personnel will be able to respond to emergency situations involving market integrity and investor protection, including law enforcement

In this new world of deep fakes, it’s nice to know you can confirm someone is who they claim to be. Like an SEC examiner

It seldom fails. If compliance vows to do something and the firm neglects to follow through, it’s a sure bet an SEC examiner will take ...

'If the disclosures were misleading or conflicts weren’t properly disclosed and it resulted in inflated fees, then you could see enforcement activity,' Weil, Gotshal & ...

Thirteen percent of staff walked out the door after Elon Musk's DOGE raid. 'In practical terms, this puts more responsibility on asset managers,' Major, Lindsey ...

This latest risk alert suggests that the Commission thinks the industry needs additional help mastering the advisers' marketing rule

The Division continues to focus on advisers’ compliance with the Marketing Rule. The staff is sharing these observations to continue to promote compliance with the ...

These cases provide clear takeaways. First, share 'sufficient information' so that your intended audience can adequately understand the ads

The SEC’s new exam priorities offer the private fund industry the first light touch they’ve had in years, but heavy hands await those fund managers ...