Examinations

Funds face 'stress-test'

How firms manage their obligations related to information collected from acquired customers is also being sought

Chairman talks market structure, gamification, disclosures, China, ESG, fee disclosures, cybersecurity, exams.

This new one asks for the adviser’s “internal definition of any terms that relate to” environmental, social and governance and socially responsible investing

Safeguards Rule P&Ps, implementation trip up eight firms

The pandemic has stretched the length of some exam calls, with some running up to five hours. Ask examiners ahead of a call what type ...

A fresh batch of SEC exam and deficiency letters has come into RCW from various sources. In part 3 of our series on hot exam ...

Option account opening, account supervision, communications and diligence are the subject of the new FINRA sweep

Working virtually may have taken its toll on examiners. They aren’t reading through all of the materials they’ve requested, frustrating responding CCOs.

The memo goes on to note that “a firm subject to SEC supervision cannot offer its services to customers if it is not willing to ...