Examinations

SRO reveals current enforcement, examination and rulemaking priorities

Oxbow did not adequately disclose all material facts regarding the conflict of interest that arose when it invested advisory clients in a share class that ...

'Reasonable efforts' to verify the information should occur no later than June 30

Sherlock Holmes famously solved a case by listening for a dog that didn’t bark. Since the early days of the coronavirus crisis, a deafening silence ...

The SRO will take the same approach outlined in the Commission's two risk alerts

Private funds will be the subject of their own separate risk alert later this year, OCIE Director Pete Driscoll says. “That’s something we’ve been getting ...

Be aware that examiners may question your logic for placing clients in certain share classes

“Take your time in producing your data” to examiners, recommends a CCO

Get the jump on your next exam

Prepare now if you’re at a larger CPO for the potential of a CFTC exam next year. The visit would be separate from whatever the ...