SEC Examinations

As with exams over the past year, the DOE quizzed about the use of electronic communications for business purposes

A source tells us of a new inquiry seen in a current exam. Examiners are probing the use of so-called 'shared work platforms,' like Google ...

Compliance officers must remain vigilant, and their bosses need to provide “the proper resources” to compliance departments, counseled the SEC Division of Examinations Director Richard ...

A source shares tips and suggestions for how to handle regulator and examiner interviews

"Compliance officers and their staff must remain vigilant and scan the horizon for new and emerging risks to ensure their compliance programs continue to offer ...

March proved to be a tough month for the SEC in two federal courts. One judge accused the Commission of “gross misconduct” and, in a ...

Among other things, EXAMS may review whether and how Registrants have evaluated the potential impact of the final rules on their: (i) business activities; (ii) ...

Commission staff used Form PF data together with other information to identify hedge fund advisers whose reported data ― such as returns, exposures, liquidity ― ...

A source shares with RCW an SEC exam letter focused on internet services

Check out exam questions from the SEC and addressed to a private equity fund adviser