This is a second cybersecurity sweep letter that OCIE sent out in 2016. It reveals that this is likely the national letter being used in ...
This letter went to a peer in 2016 that went through OCIE's phrase 2 of its cybersecurity sweep.
A peer passes on an example of a contract in a solicitation arrangement.
Northpoint Compliance in Point Pleasant, N.J., shares its checklist
A peer gives IA Watch the firm's compliance policies and procedures around the use of solicitors.
The Council is providing this public update on its review of potential risks to financial stability that may arise from certain asset management products and ...
A peer shares the firm's SEC document request letter. The firm had never been examined before. A topic pursued by examiners was how the firm ...
An SEC sweep exam looking at pay-to-play issues most likely explains this document request letter. This came out of the SEC's Chicago regional office.
Advisor Armor, a cybersecurity consulting firm in Scottsdale, Ariz., gives IA Watch permission to share its remote access control policy and procedure. An adviser could ...
Theresa Manderski, first VP, Compliance & AML Officer at Davenport & Company in Richmond, Va., shares her firm's AML P&P.