Examinations

We asked several experts to share their current tips for achieving success during an SEC exam

A source shares a copy with RCW of the DOE's 2021 cybersecurity sweep exam

Examiners also wanted to know if the firm has cybersecurity insurance and if it made any claims and what the amount of losses were

“Quite frankly, it’s not if but when these days” that your firm will be hit with a cyber-attack

Swiss authorities have sent a letter to the SEC clarifying that its policy calls for cooperation “with data protection authorities in Switzerland and abroad.” The ...

The SEC has announced that the director of the Division of Examinations Peter Driscoll will be leaving the agency after 21 years on Aug. 14. ...

Infinity Q case checks several SEC boxes

Given the frenetic consciousness whipped up by 2020, it would be understandable if you missed our warning last year over so-called “hedge” clauses. But SEC ...

DOE just missed its goal of examining 16% of RIAs in FY 2020, scrutinizing 15% of the RIA population. The plan estimates that DOE will ...

You can compare the new exam request letter with one RCW shared two years ago to see DOE’s evolution regarding ESG. If your firm engages ...