Examinations: Best Practices

This SEC document request letter, which went to an advisory firm, is interesting because it appears to mix the agency's approach to a so-called “presence ...

Say your firm must complete Form PF but the task has been delegated to others in your shop. Perhaps you should at least know what ...

This is a short list of items the SEC requested of an advisory firm that was examined.

Click here to open an Excel spreadsheet, prepared by Renaissance Regulatory Services in Boca Raton, Fla., that lists the items requested by the SEC during ...

Permit us to share with you six SEC document request letters received recently by IA Watch. They serve to demonstrate common themes across exams but ...

That exam initiative announced last fall by the newly-named OCIE Director Drew Bowden continues to percolate but more time is needed before the agency can ...

That new OCIE exam alert on custody spotlights how firms erred with the rule but also can be an instructive tool you can use to ...

It seems hard to fathom that four years after Madoff and three years after the SEC revised its custody rule in response to the fraudster's ...

Your planning for an SEC exam just got simpler. Until now, OCIE's never released its list of exam priorities - until last month.IAs and other ...

OCIE's National Exam Program staff observations regarding ways in which advisers fail to comply with the Advisers Act custody rule