Examinations: Best Practices

The phrase appears so often in SEC document request letters that it can be considered ubiquitous: examiners asking to see your "inventory of risks."But what ...

Want more proof we're visual creatures? One of your compliance peers gave a PowerPoint file to SEC examiners just hours after they arrived on site. ...

IA Watch has learned that the SEC has begun examining RIAs with ties to the failed commodity custodian MF Global (IA Watch, May 7, 2012). ...

This is an SEC document request letter that went to a dually registered firm in the eastern part of the U.S.

Click here to open an Excel file that displays the SEC's preferred method for laying out a blotter. You'll find three types: 1. Equities 2. ...

The latest crop of SEC document request letters reveals a focus on private funds, a better tailoring of requests to a firm's business as well ...

Click here to open an Excel file that comes courtesy of Vista 360, a Milwaukee-based consulting firm. This is a matrix formed around a typical ...

While examiners may be singing from the same sheet of music thanks to the new exam manual (IA Watch, Feb. 6, 2012), the notes may ...

Signs of smoother cooperation between the Enforcement Division's Asset Management Unit and OCIE can be seen in the record number of hedge fund and investment ...

It's taken a year but OCIE has finally finished its national exam manual. But don't look for it to be released publicly until after regional ...