Examinations

Eyes are peering upon a draft that could eventually become the SEC’s proposed new IA advertising rule. In yet another sign that a long-awaited proposal ...

It’s expected that the promised revision to the Advisers Act’s nearly 60-year-old advertising rule will address social media. That insight came out of a recent ...

 Investment advisers are struggling with disclosure rules tied to agency cross trades, and when selling or buying securities from their clients—especially when pooled investments are ...

Our recap of recent SEC exam activity includes three new document request letters obtained by RCW (IA Watch, Aug. 1, 2019). The first exam letter dives ...

OCIE examiners visited the mutual fund adviser with one goal: to assess if the fees it receives for shareholder services were legit. “If you’re collecting ...

Sometimes predictions come true. Several CCOs report to RCW that their OCIE exams have stretched out due to the government’s record long shutdown earlier this ...

You’re at a small firm and examiners are coming in. What are the issues they are most likely to surface, and what’s the best way ...

Summertime and the living is easy, but that’s not why this is an exciting time for the SEC’s Alicia Tate. “It’s my favorite time of ...

The SEC’s mum about its “upgrade” to how advisers can upload to OCIE materials requested by examiners.   The new system, called Kiteworks, was due ...

At least at its annual conference, FINRA goes all out to keep its customers happy. A survey of last year’s event, for example, found one ...