Examinations: Best Practices

A copy of the SEC's 2009 CCOutreach documents on custody and the Division of Investment Management's summary of recent SEC rulemaking.

Once again the SEC is showing other federal agencies how to chart new ground in the electronic age. The agency offers three Twitter accounts - ...

The controversial tactic of reaching out to advisory firm clients has become more real with the release of a four-page document the SEC states is ...

OCIE examiners descended upon one advisory firm in force in recent weeks. After they left, the CCO concluded "it went very well." One reason: the ...

A copy of an SEC document request letter from May 2009.

A new product. A new type of security. A revised compensation model within your firm. These are all potential breeding grounds for conflicts of interest. ...

The SEC's first regional CCOutreach meeting since the market meltdown, Madoff, Stanford and the rest reflected the times. The Dallas gathering May 11 focused on ...

The SEC's model template letter it sends to clients during exams in an effort to verify assets.

Beyond the usual suspects - all compliance policies and procedures, information on testing and compliance reviews and records of violations of the code of ethics ...

Copy of agenda and CCOutreach materials from SEC for 2009 meetings.