SEC Examinations

“Have you kept up with the pace of regulatory change?” asked the SEC official. Your compliance P&Ps should “reflect those regulatory changes”

The SEC’s Division of Examinations third risk alert of the year reminds advisers to include their branch offices in their compliance P&Ps, especially those designed ...

Firms should consider their entire organization, including branch offices, when implementing written policies and procedures for the safeguarding of customer records and information to ensure ...

These are the second set of FAQs the SEC staff has released related to IA's fiduciary duty and B-D's Reg BI obligations

Still no sign that a widely anticipated SEC sweep looking at compliance with the new advertising rule has commenced. Yet examiners are asking lots of ...

This is the SEC's brochure that outlines its examination program for registrants

This is an example of a real deficiency letter following a DOE exam

The letter focuses on e-communications and sheds more light onto authorities’ interest in firms’ use of new communications platforms

Examiners will use the releases. “If you ignore what’s being said, you do so at your own peril”

In a few days, the SEC will have answers from most advisers about their use of the new ad rule via several new Form ADV ...