SEC Examinations

When the link between OCIE and Enforcement is closer than the link between OCIE and the SEC’s policy divisions, firms and individuals change the way ...

While The Robare Group’s enforcement case remains unresolved, the SEC isn’t giving up on the contention that the use of the word ‘may’ in describing ...

Supplemental Information for Entities Directed to Supply Information to the Commission Other Than Pursuant to Commission Subpoena

The examination staff of the Office of Compliance Inspections and Examinations (OCIE) of the Securities and Exchange Commission (Commission) has prepared this brochure to provide ...

File this under the boys scouts’ rule to be prepared. If you’re a real estate adviser, know that some OCIE examiners may question your right ...

The first risk alert from OCIE in 2018 lists fee and expense issues that commonly cause exam deficiencies.   “Advisers should review their practices, policies, ...

One aftermath of the surge in OCIE exams is that the percentage of reviews referred to the SEC’s Enforcement Division has fallen to a low ...

It’s not a good sign when an adviser’s employee discovers he’s the firm’s CCO by reading its Form ADV.   But that’s how Richard Tomney ...

As a reflection of the risks cyber bad guys present, OCIE plans to launch its third cybersecurity sweep exam in four years (IA Watch, June ...

Although the SEC’s proposed target date fund rule never became final, the lack of regulation hasn’t deterred OCIE. IA Watch has obtained a document request ...