SEC Examinations

Exchange-traded funds, a continuation of the ReTIRE initiative, the suitability of variable annuities and private placements under Reg D are among the new priorities OCIE ...

This December 2015 letter comes from a "phone" exam. It contains a long list of items, including for a list of mutual funds with share ...

The SEC examined 10% of the registered investment adviser population in fiscal 2015, meeting its goal and equaling the mark set in 2014. While critics ...

The result could hardly have ended any worse for Michael Carino, CCO at AlphaBridge Capital Management ($296M in AUM) in Greenwich, Conn. The SEC says ...

The initiative will dig into investment recommendations, conflicts, compliance and marketing

The SEC has previously stated that one of the most critical rules under the Investment Advisers Act is 206(4)-2—the custody rule. This opinion hasn’t changed ...

The debate carries on despite FINRA not actively pursuing the issue: Should the SRO take on examinations of investment advisers? The latest champion for the ...

It may be six months before we’ll see a grade that the SEC’s Office of Inspector General gives OCIE. In the OIG’s latest report to ...

It’s nice when you have something to compare an experience with, such as an SEC exam. Three compliance officers who’ve been through multiple exams separately ...

Three strikes and you’re out. A critical SEC exam best practice is to make sure you address and correct deficiencies previously cited by the Commission and ...