Examinations

SRO's new type of exam review focuses on a business area or a product in which FINRA sees heightened risk

Given that the SEC ushered in a quicker trade settlement rule in May, you would expect the DOE to conduct a sweep exam to assess ...

Word on the street reveals SEC examiners are slowly returning to on-site exams, although many remain virtual. Their interest in adviser marketing has only heated ...

You don’t need to be a psychic to predict enforcement troubles would follow

“It’s poking the bear. It’s giving the impression of being uncooperative, and the impression that you have something to hide”

Last summer, the SEC released a risk alert designed to help investment advisers prepare for their next DOE exam. Now, the Commission returns the favor ...

'It can be a driver of potential fees,' Dan Faigus tells packed room at Private Funds CFO's compliance event

This is SEC 2866 that covers rules around providing information during an examination

As with exams over the past year, the DOE quizzed about the use of electronic communications for business purposes

A source tells us of a new inquiry seen in a current exam. Examiners are probing the use of so-called 'shared work platforms,' like Google ...