Here are directions to help you obtain your FinCEN ID to make it easier to comply with the Corporate Transparency Act
This is the DOE's priorities for FY 2025
Here's an extensive DOE exam letter shared with RCW by a source. This was directed at a private equity fund adviser in 2024
Fee billing was an interest in this ongoing SEC exam of an adviser
These are FAQs from FinCEN related to new reporting obligations under the Corporate Transparency Act. These are current as of Oct. 3, 2024
A source shares with RCW an adviser's recent SEC document request letter from an exam
Here is a recent SEC exam letter sent to an advisory firm
This comes courtesy of Lisa Marsden of Colter Strategic Services in Coral Springs, Fla.
Here's a policy that may give you ideas for improving your firm's OBA P&P
This is the sweep document request letter sent to advisers in the summer of 2024