Examinations

When examiners find a compliance issue that appears to have been missed by a firm, it naturally makes them wonder what else the firm hadn’t ...

There have been several recent reports that SEC examiners appear to be giving out more deficiencies. 'It was a book' was how one described a ...

One takeaway: Even if you’re at a private equity fund adviser, be sure your custodian sends quarterly statements to investors—even if the investors have no ...

'We prefer not to hear a "check-the-box" presentation,' Polite says

The DOE states that one topic that could come up on RIA exams is whether “sufficient resources exist to perform compliance duties”

There are 21 focus items reflected in the 2022 Report on FINRA's Examination and Risk Management Program report

Ahead of proposed audit rule, staff has gone deep on audit trail

The SRO flags over 20 different focus areas, including nearly a half dozen issues it will be eyeballing this year

'You’ve got to make sure that employees understand what the rules are,' expert warns

Second-ever risk alert rings alarms over accurate disclosures, advertising, books-and-records, due diligence and hedge clauses