Examinations: Best Practices

In recognizing that the use of social media by investment advisers is "rapidly accelerating," the SEC last week timed the announcement of an enforcement action ...

Create a welcome kit in case SEC examiners drop by your office out of the blue. You could keep it with the receptionist, who could ...

Click here to open a Word file that comes courtesy of Jeffrey Squires of Vista360 in Milwaukee. This document lays out a strategy for tackling ...

A law firm recently put out an alert stating it has encountered at least eight Department of Labor investigations in recent months. Most of these ...

If a CCO is denied access to the information she needs to adequately determine the firm's risks, this stands out like a full moon on ...

Beginning next month, branch managers within OCIE will be known as "exam managers" and will be accompanying examiners in the field, the latest modification in ...

This is an SEC exam roadmap for RIAs prepared by Linda Shirkey of The Advisor’s Resource in Houston.

This is a list shared courtesy of Karen Huey of Professional Compliance Assistance in Canton, Ga., designed to help mid-sized advisers switching to state registration ...

IA Watch has learned that advisers from Miami to L.A. recently received "limited-scope" exam request letters from the SEC. Like the so-called Chicago letter (IA ...

IA Watch has obtained four new exam document request letters, one directed at an adviser to a private fund, a second sent to an RIA ...