Examinations: Best Practices

After the offices of his private attorney were raided by authorities, President Trump stated that attorney-client privilege is dead in the U.S.   You’ll find ...

Supplemental Information for Entities Directed to Supply Information to the Commission Other Than Pursuant to Commission Subpoena

The examination staff of the Office of Compliance Inspections and Examinations (OCIE) of the Securities and Exchange Commission (Commission) has prepared this brochure to provide ...

Mark your calendar for next Wednesday. That’s when SEC commissioners plan to consider proposals finally revealing the agency’s stance on “a standard of conduct for ...

The first risk alert from OCIE in 2018 lists fee and expense issues that commonly cause exam deficiencies.   “Advisers should review their practices, policies, ...

Although the SEC’s proposed target date fund rule never became final, the lack of regulation hasn’t deterred OCIE. IA Watch has obtained a document request ...

While OCIE has had its ReTIRE initiative in place for three years, a new document request letter reveals a twist (IA Watch, June 25, 2015) ...

A peer shares the firm's initial document request letter.

Many signs point to the SEC upping their exams of IAs. Earlier this year, there was a prediction of a 25% increase in IA exams ...

OCIE has released its 6th risk alert this year. The latest one doesn’t give municipal advisors a good compliance grade.   In Observations from Municipal ...