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SEC Examinations

One clear takeaway for compliance officers is if your firm claims to invest in accordance with ESG standards, have P&Ps “associated with compliance oversight of ...
It’s smart to be nimble during an SEC exam. 'Be ready to pivot' and prep your staff that examiners can turn on a dime and ...
The agency will release 'quite a bit of guidance' to help with compliance with the new IA ad rule 'between now and the November compliance ...
When examiners find a compliance issue that appears to have been missed by a firm, it naturally makes them wonder what else the firm hadn’t ...
"The funds we requested will support only about a 5 percent increase in the number of staff that examine investment advisers"
There have been several recent reports that SEC examiners appear to be giving out more deficiencies. 'It was a book' was how one described a ...
One takeaway: Even if you’re at a private equity fund adviser, be sure your custodian sends quarterly statements to investors—even if the investors have no ...
This is a copy of an SEC document request letter given to a private equity fund adviser in a recent exam
This is a copy of an SEC document request letter that went to a private fund adviser
RCW has taken the nearly 3,000 word staff release and converted the guidance into a list of do’s and don’ts
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