Examinations

'Everyone’s guessing at this point'

Last minute tips as Nov. 4 deadline draws near

Examiners, enforcers focused on conflicts, disclosures, experts warn

'Broken windows' gets industry workout

A clear message being conveyed by the alert is that advisers better be able to 'substantiate material statements' in their ads

Two individuals have been barred from the securities industry for cheating during their online qualification exams

Given the many similarities, they could indicate that the ESG questions make up the agency’s current template for ESG exams

One clear takeaway for compliance officers is if your firm claims to invest in accordance with ESG standards, have P&Ps “associated with compliance oversight of ...

It’s smart to be nimble during an SEC exam. 'Be ready to pivot' and prep your staff that examiners can turn on a dime and ...

The agency will release 'quite a bit of guidance' to help with compliance with the new IA ad rule 'between now and the November compliance ...