Examinations: Best Practices

Many SEC examination document request letters ask advisory firms for a copy of their organization chart. But finding an org chart for the Commission is ...

Fees and expenses for private equity fund advisers. Visits to never-been-examined investment companies. Cybersecurity. These are among the new items contained within OCIE’s just-released 2015 ...

One of the more surprising topics absent from OCIE’s new and shortened 2015 exam priorities list is custody. That issue has drawn examiners’ glare since ...

A new proposed rule from the CFTC would wipe away the requirement that commodity trading advisors (CTAs) save recordings of swap transactions (IA Watch, Nov. ...

Click here to open a Word file that is an example of a document request letter the National Futures Association (NFA) sends to commodity pool operators (CPOs) ...

OCIE examiners have worn their traveling shoes of late, visiting a variety of firms and conducting a mix of quick-hit inquiries and lengthy visits. Reports ...

It’s not likely that sensitive data you share with the SEC could get out to the public, but a best practice would be to follow ...

IA Watch has obtained several recent SEC document request letters (see related story). They vary. Most are for never-been-examined firms and included on-site visits. One ...

Click here to open a PDF from the NSCP with directions for how to Bates stamp PDF documents. This is shared with permission of the ...

Sweep exams, risk alerts, regulator roundtables, pilot surveys, trade association guidance and almost daily headlines have made the issue of cybersecurity impossible to ignore for ...