Examinations: Best Practices

Now that you’ve been put on notice by OCIE that examiners will scrutinize how you monitor employees with a disciplinary past, it’s smarter than ever ...

Maybe the fourth time’s the charm for Moloney Securities Co. and its President and Chief Investment Officer Joseph Medley, Jr. After three separate SEC examinations ...

You’ve heard it before: Get your SEC exam off to a rousing start by giving examiners a brief description of your firm. Many compliance officers ...

As the two major presidential candidates prepare to verbally joust in their first debate, OCIE is fulfilling its promise to examine advisers on their compliance ...

It’s been said that examiners from the National Futures Association are generally easier to work with than SEC examiners. That view gains credence with the ...

You can never have too much help getting ready for an exam. Here are some key do’s and don’ts from a top FINRA examiner and ...

For a third consecutive year, cybersecurity remains the hottest compliance topic among investment advisers. Nearly 9 out of 10 IAs regard the safeguarding of critical information ...

Where are small firms most apt to get into trouble at exam time? What are the most effective practices for heading it off? Here are ...

IA Watch has obtained a second OCIE document request letter from its ongoing cybersecurity sweep. The good news for the industry is that the latest ...

Compliance officers don’t necessarily have a reputation for being technologically proficient – and the SEC recognizes this.   “We don’t expect you to be cybersecurity ...