Examinations

This letter, from the SEC's Los Angeles Regional Office, went to a broker-dealer in 2014. This letter features an unusual table of data that examiners ...

This letter, sent to a never-been-examined firm, features an unique table that examiners wanted the adviser to complete. It would provide the number of clients ...

The U.S. Securities and Exchange Commission is examining how private equity firms report a key metric of their past performance when they market new funds ...

Hedge fund advisers are having some advertising and marketing compliance issues and 2015 will see SEC examiners focus on retiring investors. These nuggets were among ...

This settlement recites "systemic compliance failures" tied to Barclays acquisition of Lehman Brothers. It includes books and records failures that prevented Barclays from identifying its ...

The SEC is 90% toward tackling its mandated Dodd-Frank rulemaking. In recent testimony before the Senate Banking Committee, Chair Mary Jo White noted that Dodd-Frank ...

“You never get a second chance to make a great first impression.” That age-old adage certainly applies to an SEC exam. From the moment examiners ...

The biggest mistake advisers make during an SEC exam is not listening carefully to what examiners are asking, according to Michelle Jacko, managing partner of ...

The SEC’s first Investor Advocate Rick Fleming urged Congress to pass legislation allowing the agency to charge investment adviser user fees to pay for more ...

Because Dodd-Frank directed the SEC to produce an annual report on Form PF data, you now have insight into how OCIE plumbs the data for ...