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Our periodic recounting of what examiners in the SEC’s Division of Examinations are pursuing in adviser exams samples several new exam request letters obtained by ...
Examiners asking funds about their advisers
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Multiple sources have told RCW that the SEC has launched its long-anticipated Division of Examinations sweep tied to the IA advertising rule, and we’ve gotten ...
Sources describe this DOE exam letter as coming from the SEC's sweep exam tied to the new IA ad rule
'Shockingly low' compliance budgets collide with regulatory demands
Group of business people is working on new business strategy with a financial analyst while analyzing financial chart during meeting in the office.
A source shares an SEC exam letter sent to an advisory firm
Cropped shot of unrecognizable businesspeople using their wireless devices in the office
RCW has obtained questions SEC examiners ask related to off-channel communications
"Would an approach that relies on user fees or third-party examiners foster bad habits at the Commission?  The SEC recently has exhibited an unhealthy preoccupation ...
The SRO conducts about 1,000 exams each year and executes "several thousand" more cause exams annually
apanese girlfriends hanging out on Shibuya streets of Tokyo. Japan.
You’re advised to ensure that your disclosures around use of testimonials and endorsements are sound, according to a new risk alert from the SEC’s Division ...

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