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SEC Examinations
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
Gain takeaways from this 2024 SEC exam letter
Eye an SEC exam document request letter from an ongoing exam
The alert recounts the fundamental compliance rules under the SEC’s security-based swaps regime, and points out where some swap dealers are coming up short
RCW has obtained a copy of what’s described as a new SEC exam sweep checking on compliance with Form 13F filings
Gain takeaways from the latest SEC risk alerts
Our source describes the new document request letter from an ongoing exam as representative of a nationwide sweep by DOE examiners
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 ...