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Examinations: Best Practices
Recent OCIE document request letters obtained by IA Watch may be left to speak for the agency on the issue
The word’s being heard throughout many recent SEC exams. While most exams may be shorter and less intensive, expect that OCIE will want to interview ...
This is the SEC's guide to sharing exam and other documents with OCIE via the agency's encrypted e-mail system.
Accellion is a secure file transfer tool that enables you to send and receive encrypted information to/from SEC staff members using a special electronic mailbox. ...
They may not be great in number but the SEC’s Boston Regional Office has returned to doing something that had been curtailed to only cases ...
KMH Wealth Management CCO Phyllis Keller was thinking this past spring of clever ways to conduct a mock disaster recovery drill (IA Watch, March 30, ...
An IA shares the firm's initial exam request letter.
Some dispute that the recent SEC document request letter on business development companies that we shared with you comes from a sweep exam (IA Watch, ...
Recently, a FINRA official offered a road map for getting through your next exam – what examiners will be looking for, and how you can ...
OCIE’s been making the rounds lately, not on exams, but on tour. Last week, the agency completed its fourth and final outreach meeting of 2017 ...