Examinations

One month into the reign of the SEC's new Chairman Mary Schapiro and it looks like the horses are out of the gates. IA Week ...

Copy of SEC sweep exam letter related to rumors.

A sanitized copy of an SEC exam document request letter from February 2009.

A copy of an SEC Office of Compliance Inspections and Examinations' sweep letter looking into firms' controls over custody.

Cast this act as almost Madoff-ian. The SEC has filed legal action against a hedge fund manager, claiming Grant Ivan Grieve went to enormous lengths ...

The first memo from the compliance department was sent up the chain of command in 2003. The next year, two new compliance officers for the ...

Disgraced former RIA Bernie Madoff last week sought to move past SEC civil charges as he prepares for the much bigger stakes within the criminal ...

You should expect the SEC to show its teeth following the embarrassment around the Madoff scandal. An early indication of this new attitude came from ...

Firms could try to use attorney-client privilege to avoid disclosure of mock exams or compliance audits. The maneuver has to be legitimate, though, and even ...

Bernie Madoff and the SEC have agreed to a partial judgment stemming from the registered investment adviser's alleged multi-billion Ponzi scheme, according to the SEC.The ...