Examinations: Best Practices

The RIAs are 'essentially caught between two regulators'

The Division is providing this information to help municipal advisors better understand the examination process and prepare for an examination

The rash of SEC enforcement actions against advisers for marketing mishaps means when Commission staff talk about what not to do, it’s time to listen

Take these steps and produce 'the most effective annual review that you could do'

SEC examiners are looking at compliance with newly effective rules, use of technology, cybersecurity, crypto assets and artificial intelligence

One of the areas sure to be scrutinized on exam is whether you address compliance issues 'promptly … when identified'

This Risk Alert provides some insight regarding the examination process for funds and includes an attachment outlining the types of documents and information that are ...

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