Home Examinations: Best Practices
Examinations: Best Practices
Last summer, the SEC released a risk alert designed to help investment advisers prepare for their next DOE exam. Now, the Commission returns the favor ...
This DOE risk alert provides insights into how the SEC selects B-Ds to examine, and topics to query
"If new rules impact your operations or if recent enforcement actions highlight risk areas relevant to your business, it means evaluating whether you need to ...
This is SEC 2866 that covers rules around providing information during an examination
As with exams over the past year, the DOE quizzed about the use of electronic communications for business purposes
A source tells us of a new inquiry seen in a current exam. Examiners are probing the use of so-called 'shared work platforms,' like Google ...
This tip sheet for how to handle regulator and examiner interviews comes courtesy of Peter Guarino, president/CCO at Compliance4 in Falmouth, Maine
"Compliance officers and their staff must remain vigilant and scan the horizon for new and emerging risks to ensure their compliance programs continue to offer ...
A source shares with RCW an SEC exam letter focused on internet services
It's a confirmed best practices to read through recent DOE exam request letters to help you prepare for your next SEC exam