Examinations: Best Practices

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

Here is a recent SEC exam letter sent to an advisory firm

RCW shares a new SEC exam sweep document request letter going to advisers

This is the sweep document request letter sent to advisers in the summer of 2024

Word on the street reveals SEC examiners are slowly returning to on-site exams, although many remain virtual. Their interest in adviser marketing has only heated ...

You don’t need to be a psychic to predict enforcement troubles would follow

“It’s poking the bear. It’s giving the impression of being uncooperative, and the impression that you have something to hide”

This is the Division of Examinations' exam brochure