Examinations: Best Practices

Roll the dice and hope for no snake eyes. That’s what it can seem like when facing an OCIE exam these days. Your peers report ...

A peer shares a copy of a recent OCIE exam document request letter.

You’ve heard before the best practice of showing examiners a PowerPoint presentation about your firm on the first day of their visit (IA Watch, Sept. ...

Click here to open a Word file contributed by SEC3 Compliance Consultants in Phoenixville, Pa. This is a list of 30 SEC exam preparation tips ...

The five most frequent compliance topics identified in deficiency letters sent to SEC-registered investment advisers

Words are powerful. Take the custodian that, when notified that OCIE examiners were conducting an exam of an investment adviser, sent correspondence to the IA’s ...

A “listening tour” commenced last August by then new FINRA president/CEO Robert Cook will bear fruit this year. Based on feedback that broker-dealers would like ...

‘Tis the season for joy – and it seems OCIE exams of advisers. We’ve heard the same thing from many people across the country over ...

This is an Excel spreadsheet log designed for tracking the potential 31 fields of client data that can be requested by OCIE examiners. This can be ...

Steve Flammey, CFO/CCO at Redwood Investments ($1B in AUM) in Newton, Mass., passes on tips to help you succeed in your next SEC exam. Click the ...