SEC Examinations

Word on the street reveals SEC examiners are slowly returning to on-site exams, although many remain virtual. Their interest in adviser marketing has only heated ...

You don’t need to be a psychic to predict enforcement troubles would follow

“It’s poking the bear. It’s giving the impression of being uncooperative, and the impression that you have something to hide”

This is the Division of Examinations' exam brochure

Last summer, the SEC released a risk alert designed to help investment advisers prepare for their next DOE exam. Now, the Commission returns the favor ...

This DOE risk alert provides insights into how the SEC selects B-Ds to examine, and topics to query

This is SEC 2866 that covers rules around providing information during an examination

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 ...