Examinations: Best Practices

Earlier this year we alerted you to a new type of SEC document request letter out of the agency's Chicago Regional Office (IA Watch, Jan. ...

The distance between today's headlines and the topics in an SEC exam doesn't diverge much. IA Watch has obtained a document request letter from a ...

It could prove the ultimate in exam preparation: a guide to OCIE's exams from the SEC's Office of Compliance Inspections and Examinations itself. The division ...

There's no question you must respond seriously and swiftly when you receive a document request letter from the SEC. But this doesn't mean the agency ...

Satisfying SEC examiners when it comes to best execution could be as simple as having a process that seeks best execution and routinely following it ...

Congress may be struggling over investment adviser-broker dealer harmonization but compliance officers from both entities came together at the first combined SEC CCOutreach meeting last ...

Here is an example, as a Word document, of how to document part of your annual review, courtesy of Karen Huey, owner of Professional Compliance ...

Timing is everything. A California CCO wishes to pass on a lesson from a recent exam that the tenor can shift between the exit interview ...

The deficiency letter received by a firm in the mountain west listed mostly items related to custody, according to a CCO who filled us in ...

Your peers have spoken often of how a recent SEC document request letter has helped them to perform well during an exam, so we have ...