Examinations

“We cannot overstate a firm’s continued need to assess whether its compliance program has adequate resources to support its compliance function. Resources means a lot ...

RCW has obtained a copy of OCIE's newly launched AML sweep exam

The latest sweep exam letter reveals a growing sophistication in OCIE’s grasp of cybersecurity

Limit video calls with examiners to 45-60 minutes because “people get tired” during these calls

“We didn’t anticipate that this would go on as long as it has,” OCIE Director Peter Driscoll said

Any CCO should sit in on employee video calls with the SEC, just as a compliance officer—or other firm examination liaison—should be in the room ...

Investment advisers are already struggling at laying out their firms’ relationship summaries, the SEC says. IAs were required to publish their Form CRS beginning June ...

"As recent events have demonstrated once again, market and operational risks can emerge suddenly. We should be working to increase our ability to react, including bringing ...

The SEC’s recent private funds risk alert points to structural problems in the industry—problems that the Commission itself is in a unique position to help ...

New Jersey regulators will examine investment advisers on how well they’re protecting elder clients from fraud, state Attorney General Gurbir Grewal says. The Garden State’s ...