Examinations: Best Practices

The top three hot topics coming up in FINRA exams are failure to supervise branch offices, the accuracy of consolidated statements of financial condition and ...

Many advisers that have recently been examined tell IA Watch that SEC examiners never even requested e-mail records. But sources tell us if they do, ...

It isn't often that the SEC pursues charges against advisers for GIPS violations and even more unusual for the agency to fine a former CCO ...

There's a really easy tipoff to examiners that a firm's compliance operation may not be up to snuff. When the firm's asked what it considers ...

IA Watch has obtained copies of requests from SEC examiners that ask firms to provide more extensive data when sharing their trade blotters. One document, ...

IA Watch has now obtained more SEC document request letters stemming from OCIE's new never-been-examined initiative (IA Watch, March 24, 2014). Advisers are receiving relatively ...

Regulators have made it known they're interested in whether clients are being moved from commission-based to fee-only accounts for the right reasons. The issue appears ...

This is an SEC document request letter from a so-called “never-been-examined firm.” This letter comes out of the Boston Regional Office of the SEC.

IA Watch has obtained a copy of an SEC document request letter sent this month to an adviser that has never been examined (IA Watch, ...

As the SEC prepares this week to hold its upcoming cybersecurity roundtable, now's a good time to pass along tips to keep your firm away ...