Examinations

This settlement of an SEC enforcement case zeroes in on the issue of a private equity fund operating as an unregistered broker and earning transaction-based ...

These advisers were charged with poor compliance P&Ps for not requiring a review of portfolio manager valuations and that were not reasonably designed to ensure ...

Since we first shared with you an SECdocument request letter from a new "presence exam" (IA Watch, Dec. 10, 2012), IA Watch has obtained two ...

What SEC examiners focus on can shift like the sands, depending on what's hot and the type of firm being queried. We've come up with ...

IA Watch has obtained a copy of an SEC document request letter received by an adviser after the agency formally announced its new "presence exam" ...

This is an SEC document request letter sent to an advisory firm. This letter hails from the Atlanta Regional Office. This may be a so-called ...

This SEC document request letter went to an adviser in the Atlanta Regional Office. This is from a so-called “presence exam.”

This is a copy of an SEC document request letter following the announcement of the new “presence” exams. This letter comes out of the Atlanta ...

Want more proof we're visual creatures? One of your compliance peers gave a PowerPoint file to SEC examiners just hours after they arrived on site. ...

We told you it was coming and last week OCIE released a letter to new registrants aimed at reminding them of their compliance obligations and ...