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Examinations: Best Practices
The bulk of the release aims at RIAs, showcasing a slew of hot exam topics
This is the DOE's priorities for FY 2025
Check out an extensive new exam letter that digs into the operations of a private equity fund adviser
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
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
RCW shares a new SEC exam sweep document request letter going to advisers
This is the sweep document request letter sent to advisers in the summer of 2024
Word on the street reveals SEC examiners are slowly returning to on-site exams, although many remain virtual. Their interest in adviser marketing has only heated ...