SEC Examinations

The firm was asked to hand over everything from a list of retail customers to fee “grids or schedules” to information on any “bonuses or ...

The SEC employs more than 4,300 people, with 1,065 attached to OCIE. The FOIA response includes 1,012 names

Document who was involved in the process, the date of a meeting and the result. Commit these items to paper and “your exams are going ...

Investment advisers are already struggling at laying out their firms’ relationship summaries, the SEC says. IAs were required to publish their Form CRS beginning June ...

"As recent events have demonstrated once again, market and operational risks can emerge suddenly. We should be working to increase our ability to react, including bringing ...

SEC examiners will seek documents showing firms’ organizational structure and business lines, as well as any groups and even third-party vendors, responsible for helping them ...

Private fund advisers struggle with conflicts of interest, fees and expenses and putting together the right P&Ps to mitigate the risk of material, non-public information ...

Officially, the SEC is suing a South Florida digital investment adviser for failure to maintain and hand over its books and records—including those behind a ...

SEC regulators will examine for “good faith” efforts to comply with the Commission’s new Reg BI rule, OCIE says in a new risk alert. Chairman ...

Examples of the areas the staff may focus on during examinations are discussed below