SEC Examinations

"Cyber threat actors are becoming more aggressive and sophisticated"

“Take your time in producing your data” to examiners, recommends a CCO

The new report provides “hallmarks” of effective compliance programs detected by the agency over the years

Karen Huey of Professional Compliance Assistance in Woodstock, Ga., gives us permission to share with you her 18-point guide to an on-site exam by OCIE.

“OCIE exceeded its goal and conducted over 3,075 examinations"

Get the jump on your next exam

Eyes are peering upon a draft that could eventually become the SEC’s proposed new IA advertising rule. In yet another sign that a long-awaited proposal ...

It’s expected that the promised revision to the Advisers Act’s nearly 60-year-old advertising rule will address social media. That insight came out of a recent ...

Our recap of recent SEC exam activity includes three new document request letters obtained by RCW (IA Watch, Aug. 1, 2019). The first exam letter dives ...

OCIE examiners visited the mutual fund adviser with one goal: to assess if the fees it receives for shareholder services were legit. “If you’re collecting ...