The five most frequent compliance topics identified in deficiency letters sent to SEC-registered investment advisers
This chart was published in a GAO report from late 2016. It reveals the organizational chart at the Securities and Exchange Commission.
A peer shares the firm's document request letter from a recent SEC exam. One topic of interest is whistleblower P&Ps.
Given the seriousness of the issue and the risk to all regulated entities, certain regulatory minimum standards are warranted, while not being overly prescriptive so ...
Like the FAQs the Department issued on October 27, 2016, on the Prohibited Transaction Exemptions, these FAQs focus particularly on specific technical questions raised by ...
This release, from January 2017, describes the top exam priorities for the SEC's Office of Compliance Inspections and Examinations for 2017.
Form N-1A is to be used by open-end management investment companies, except insurance company separate accounts and small business investment companies licensed under the United ...
Staff intends to focus on registered investment advisers that provide advisory services from multiple locations. The examinations will focus on evaluating the design and effectiveness ...
This is the SEC's Form PF
A peer passes on a copy of the adviser's SEC document request letter from an exam that occurred in the south.