Examinations

The SEC’s mum about its “upgrade” to how advisers can upload to OCIE materials requested by examiners.   The new system, called Kiteworks, was due ...

At least at its annual conference, FINRA goes all out to keep its customers happy. A survey of last year’s event, for example, found one ...

Retail investors likely would never think to ask to read an adviser’s deficiency letter from the firm’s most recent OCIE exam. But institutional investors aren’t ...

If you’re having difficulty making the case for sufficient resources for your firm’s compliance program, you may want to consider laying the latest speech from ...

This exam request letter went to an advisory firm in 2019.

CPOs examined by NFA staff beginning this month can expect to be asked about what they’ve done to comply with the SRO’s new internal controls ...

A glance at a recent OCIE document request letter leaves no doubt of examiners’ interest in advisory fees. This isn’t a state secret given the ...

A source passes on to us the document request letter that went to an adviser as part of OCIE's third cybersecurity sweep exam.

Last month we reported that the SEC’s latest cybersecurity sweep exam is in full swing (IA Watch, March 14, 2019). Now IA Watch shares with ...

A peer shares the questions OCIE examiners asked in a document request letter to the advisory firm in an exam initiative directed at registered investment ...