Examinations: Best Practices

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

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