Examinations: Best Practices

At first, the request shocked the firm. Examiners wanted to see a sampling of the DBA bank statements of scores of independent reps that the ...

Victoria Hogan, president of NorthPoint Compliance in Red Bank, N.J., shares a list of questions compliance staff can anticipate traders may be asked during an ...

One firm felt the heat over GIPS compliance. Another was scrutinized for its actions to prevent insider trading. A third found its most recent exam ...

The days of SEC regional offices conducting their own style of exams may be drawing to a close. OCIE continues to move toward putting a ...

We told you that so-called Chicago letter was getting around, and that the New York Regional Office of the SEC was giving it a test ...

A CCO could feel as if he's pulled in a thousand directions after SEC examiners take up position in the firm. Of course, you can't ...

Click here to open an Excel file that can serve as a template for tracking documents needed for an SEC exam. This tool comes courtesy ...

The newest SECdocument request letter that we share with you at www.iawatch.com hails from OCIE headquarters in Washington. It illustrates the interest examiners are taking ...

It may stick out in an examiner's mind if your firm spends gobs of cash for the spiffiest technology for business purposes but relegates compliance ...

A Midwest RIA weeks ago hosted six SEC examiners for three days. They left sooner than expected, and the CCO believes they scooted because of ...