Examinations: Best Practices

Eye an SEC exam document request letter from an ongoing exam

The alert recounts the fundamental compliance rules under the SEC’s security-based swaps regime, and points out where some swap dealers are coming up short

The Division encourages security-based swap dealers to consider improvements in their compliance programs, as may be appropriate, to further compliance with Exchange Act requirements. The ...

RCW has obtained a copy of what’s described as a new SEC exam sweep checking on compliance with Form 13F filings

Sources share with RCW a new DOE sweep exam letter. This one focuses on 13F filings by institutional advisers

Gain takeaways from the latest SEC risk alerts

Our source describes the new document request letter from an ongoing exam as representative of a nationwide sweep by DOE examiners

Two months ago, RCW revealed that the SEC’s Division of Examinations has launched a sweep exam related to advisers’ use of artificial intelligence—but we weren’t ...

RCW has obtained a copy of the SEC Division of Examinations' sweep exam letter tied to AI or artificial intelligence

It’s the first time in the 12 years that the exam division has released its annual exam priorities that they’ve appeared the year before they ...