Examinations: Best Practices

OCIE’s 2016 exam priorities promised examiners would continue their ReTIRE initiative, which began last June (IA Watch, June 25, 2015). IA Watch has obtained an ...

This guide, published by the NFA in 2016, describes what's required of registrants, including commodity pool operators, commodity trading advisors and futures commission merchants. It ...

You won’t need to be part of OCIE’s second cybersecurity sweep exam to be asked about your firm’s approach to IT concerns (IA Watch, Sept. ...

When it comes to smartly preparing for a possible SEC exam, few activities would appear shrewder than what Tanya Kerrigan did.   The general counsel/CCO ...

This Excel file provides a data sheet illustrating the elements per client that SEC examiners often request. It's been described as a best practice for exams ...

You often hear comparisons between exams conducted by OCIE and the National Futures Association and the same description keeps coming up: The NFA is much ...

A peer shares what the National Futures Association requested during an exam.

IA Watch has obtained a new SEC document request letter received by an SEC-registered advisory firm based in London, England.   The document resembles other ...

Talk of coming higher interest rates has moved the SEC’s focus on how firms are preparing to advisers managing fixed income portfolios. IA Watch has ...

By all accounts, FINRA’s risk-based examination program has been a success. Using analytics, the SRO is zeroing in on a handful of topics to review. ...