Examinations

RCW has obtained questions SEC examiners ask related to off-channel communications

"Would an approach that relies on user fees or third-party examiners foster bad habits at the Commission?  The SEC recently has exhibited an unhealthy preoccupation ...

The SRO conducts about 1,000 exams each year and executes "several thousand" more cause exams annually

You’re advised to ensure that your disclosures around use of testimonials and endorsements are sound, according to a new risk alert from the SEC’s Division ...

Longstanding GP-LP tensions aggravated as private equity seeks shelter

Think about 'consent mechanisms,' expert urges

This is the DOE's second risk alert tied to the new IA ad rule

Case 'should scare' advisers, expert says

A peer passes on an adviser's recent DOE exam document request letter

RCW shares questions from a recent DOE advisory firm exam that focus on the firm's organizational structure and its key personnel