Examinations: Best Practices

A fresh batch of SEC exam and deficiency letters has come into RCW from various sources. In part 3 of our series on hot exam ...

The list continues to grow of areas of interest among SEC examiners

Working virtually may have taken its toll on examiners. They aren’t reading through all of the materials they’ve requested, frustrating responding CCOs.

We asked several experts to share their current tips for achieving success during an SEC exam

Steve Flammey, CFO/CCO at Redwood Investments in Newton, Mass., shares a PPT shell that can serve as a model for you

Examiners also wanted to know if the firm has cybersecurity insurance and if it made any claims and what the amount of losses were

Given the frenetic consciousness whipped up by 2020, it would be understandable if you missed our warning last year over so-called “hedge” clauses. But SEC ...

You can compare the new exam request letter with one RCW shared two years ago to see DOE’s evolution regarding ESG. If your firm engages ...

The SEC has long asked advisers for documents related to their clients. Now there’s evidence you may be asked to hand over to examiners materials ...

RCW has obtained a copy of a recent FINRA document request letter for an exam that focused largely on Regulation Best Interest