SEC Examinations

Two months ago, RCW revealed that the SEC’s Division of Examinations has launched a sweep exam related to advisers’ use of artificial intelligence—but we weren’t ...

RCW has obtained a copy of the SEC Division of Examinations' sweep exam letter tied to AI or artificial intelligence

It’s the first time in the 12 years that the exam division has released its annual exam priorities that they’ve appeared the year before they ...

This is the SEC's Division of Examinations' 2024 exam priorities, released in October 2023

While the exam did ask about due diligence of third-party vendors, Patel contends the exam team went too far in inquiring whether the adviser tracks ...

'There are still a few levers to pull' aside from a hedge clause

Greek myth meets regulatory reality in the case of an RIA that, like Icarus, aimed too high and fell back to Earth

Like cars whipping around a racetrack, some compliance issues have a knack of coming around again and again

'The clock is ticking'

“The Division is providing this information so that advisers may prepare themselves for an examination,” reads DOE’s 7th risk alert of 2023