Examinations

A peer shares a copy of the FINRA exam letter that focused on Reg BI compliance

It’s being able to say to the investment team, ‘If you’re going to make certain statements about considering ESG in the investment process, then you ...

'Deeper reviews' of Reg BI and Form CRS, examinations of CAT compliance coming

Two top SEC staffers have issued a fresh statement on blank-check companies, yet another sign that regulators are worried about irrational exuberance in the booming ...

FINRA has been coordinating with the SEC to make sure exam efforts are not being duplicated

SRO has received good feedback, both internally and externally, on exams restructuring

The good news, examiners found, is that some advisers were on top of their ESG regimes. Regulators offer some tips from the best of the ...

“CRS is a different beast,” said Anil Abraham. Anything disciplinary related affects your answer on the form. The SEC has been clear “if you have ...

SRO covers its current enforcement process, how long it takes, and the steps involved

The DOE report tips its hat to CCOs, recognizing that “compliance programs, CCOs and other compliance staff play critically important roles at firms” and provides ...