Examinations: Best Practices

Anxiety naturally would come to those advisers that have never been examined but yet realize they may soon be visited given OCIE's new initiative (IA ...

The phenomenal growth in alternative investment mutual funds has caught OCIE's attention, giving the strategy a spot on its 2014 exam priorities list. Investments in ...

IA Watch has obtained four SEC document request letters from recent exams of investment advisers. Most are "presence" or limited scope exams that clearly reveal ...

This is a copy of an SEC document request letter that went to an adviser for an exam.

The announcement of the never-been-examined initiative isn't the only new development out of OCIE (IA Watch, Feb. 24, 2014). This month, examiners will begin using ...

Staff at advisory firms that have never been examined can have an unrealistic view of the process. Janaya Moscony recalls the client who received his ...

This is a copy of an SEC document request letter that went to a private equity fund adviser in late 2013. This comes from an ...

This is a copy of an SEC document request letter that went to a private fund adviser in 2013. This is a so-called “presence exam” ...

If you're your firm's CCO, know that your letter could be in the mail. Last week OCIE released a three-page letter bound for senior executives ...

The way mutual funds are sold has changed greatly since the SEC issued its fund supermarket "no-action letter" in 1998. Then OCIE promised to "closely ...