Division of Exams’ Priorities

'We prefer not to hear a "check-the-box" presentation,' Polite says

The DOE states that one topic that could come up on RIA exams is whether “sufficient resources exist to perform compliance duties”

We hope that firms' leadership, including those in compliance, legal, risk, and information security, across the financial services industry will review the priorities and consider ...

15% of the SEC-registered IA population was examined in FY2020

The DOE sheds some light on issues it considers when identifying exam candidates

Over the past five years, the number of SEC-registered IAs has jumped 16%

"We continue to believe it is important to emphasize that compliance programs, CCOs and other compliance staff play critically important roles at firms .... One ...

“You’ll see it’s all a show,” Monty Python tells us, “Keep ’em laughin’ as you go/ Just remember that the last laugh is on you.” ...

Large-volume investment advisers and broker-dealers should take a fresh look at their compliance manuals and policies and procedures to make sure they’re getting right with ...

SEC states chief compliance officers, and other compliance staff play critically important roles at firms