Home Examinations: Best Practices
Examinations: Best Practices
This is a copy of an SEC document request letter that went to an adviser in late 2013. This is described by Janaya Moscony of ...
This letter, released by OCIE in 2014, was meant for firms that had never been examined. It details OCIE's initiative to visit some of these ...
Whether you've never been examined by the SEC or it's old hat to you, here are some pointers that could positively influence the final results ...
Take it as a given that OCIE examiners will seek to understand the organizational structure of your compliance department, ask about your budget and request ...
If your firm has never been examined by the SEC, you still may not get a visit even after your number comes up.That's because OCIE ...
No signs presented themselves that an SEC exam would be in the offing, but a New York CCO took OCIE's 2013 exam priorities list and ...
Several recent enforcement actions took firms to task for deficient compliance programs (IA Watch, Oct. 28, 2013). Now it looks like OCIE's asking about compliance ...
It's an old reporter's technique that's made its way into SEC exams. Ask a question and let the air fill with silence, inducing the interviewee ...
For years, OCIE has talked of its use of risk analysis to select advisory firms to examine but perhaps no brighter light has been shined ...
Whether it's an e-mail, proxy service, portfolio management, document repository or some other vendor, your firm likely turns to a third-party to house key records. ...