A source shares language purported to come from an OCIE exam deficiency letter dealing with the custody issue of moving funds between accounts and custodians.
A peer shares the firm's SEC document request letter that displayed an interest in pay-to-play issues.
OCIE staff intends to conduct examinations of registered investment advisers that employ or contract with supervised persons that have a history of disciplinary events. These ...
The SEC released this version of the revised Form ADV that will take effect in October 2017. This encompasses the changes made in its 2016 ...
This is a copy of a 2016 exam letter sent to an adviser from the SEC's Philadelphia Regional Office.
This brochure includes detailed language on step-out or trading away trades from a wrap fee sponsor following an SEC enforcement action.
This is a copy of an SEC exam letter that went to an investment adviser in New York in 2016.
This flow chart, designed by Brent Nicks, CCO at Wunderlich Securities in Memphis, is designed to help arrive at the proper exemption under the DOL's ...
OCIE is seeking to identify conflicts of interest tied to advisers’ compensation or financial incentives for recommending mutual fund and 529 Plan share classes that ...
This is a guide to SEC regulation of written and shared with permission of Robert Plaze, a partner with Stroock & Stroock & Lavan in ...