Examinations: Best Practices

Take some tips and insights on current exam hot topics heard at FINRA’s recent Washington, D.C., conference: Complex Products New product vetting “is a piece ...

An initial sign of potential trouble for a firm under SEC examination is the relationship between business/operations and legal/compliance, said Jina Choi, regional director of ...

It’s nice when you have something to compare an experience with, such as an SEC exam. Three compliance officers who’ve been through multiple exams separately ...

One year after his predecessor talked about compliance for private equity fund advisers (IA Watch, May 12, 2015), OCIE’s Acting Director Marc Wyatt added his ...

The gift arrived just days before last Christmas. Four SEC examiners were coming to town, and would arrive just as the New Year began. What ...

While you’re likely to breathe a sigh of relief once SEC examiners have closed your exam – especially if the outcome were successful – take ...

It’s well established that examiners will likely question adviser accounts with little trade activity that were moved from 401(k) plans (IA Watch, March 5, 2015). ...

Now that OCIE has released its 2015 exam priorities, we checked with some of your peers who have been through recent exams to ask them ...

Violations of the Investment Company Act cost Water Island Capital ($3.4B in AUM) in New York $50,000 last week after it settled custody and compliance ...

Believe it or not it’s been more than 10 years since the annual review requirement came into place. While the annual review can seem like ...