Examinations

The national exam staff intends to focus on certain never-before-examined registered investment companies. Such examinations will focus on the following topics: compliance programs; annual contract ...

There is room for improvement for brokerage firms conducting business with senior investors say the SEC and FINRA. The regulators would like to see broker-dealers ...

The gift arrived just days before last Christmas. Four SEC examiners were coming to town, and would arrive just as the New Year began. What ...

Emily Gordy spent 27 years as a financial regulator, most recently as FINRA’s senior vice president of enforcement before joining Shulman Rogers Gandal in Potomac, ...

When your regulator has embraced a risk-based approach to prioritizing exams, it’s always helpful to know what factors are actively being considered. In a speech ...

The adviser had set up a committee to deal with conflicts. The firm’s CFO and CCO formed the entirety of the “conflicts committee.” Problem was ...

It’s no secret that FINRA takes very seriously private securities transactions by personnel affiliated with broker-dealers (IA Watch, March 4, 2015). Recently, it has been ...

This is a portion of a request letter sent by the SEC to a hedge fund of funds manager. This is another example of the ...

FINRA is already making good on its promise that examiners will review broker-dealers’ approaches to cybersecurity risk management. The SROs 2015 exam priorities letter notes ...

Another former SEC staffer is heading to FINRA (IA Watch, May 7, 2013). The SRO is taking steps to improve how it analyzes and uses ...