Examinations

No one’s surprised to learn that OCIE will check to see if an adviser is charging proper fees. What might astonish is that a lot ...

If you manage a mutual fund, get ready. IA Watch has learned that OCIE has launched an initiative probing advisers of registered funds – and ...

This exam letter, from 2018, asks detailed questions about the adviser's mutual fund.

The previously signaled next OCIE sweep exam scrutinizing how advisers protect their sensitive data will be kicked off sometime in the next year (IA Watch, ...

IA Watch has obtained a copy of an OCIE sweep exam request letter tied to how advisers are handling cryptocurrencies.   The exam letter probes ...

This letter went to an advisory firm within the SEC's New York Regional Office.

One aftermath of the surge in OCIE exams is that the percentage of reviews referred to the SEC’s Enforcement Division has fallen to a low ...

As a reflection of the risks cyber bad guys present, OCIE plans to launch its third cybersecurity sweep exam in four years (IA Watch, June ...

Although the SEC’s proposed target date fund rule never became final, the lack of regulation hasn’t deterred OCIE. IA Watch has obtained a document request ...

While OCIE has had its ReTIRE initiative in place for three years, a new document request letter reveals a twist (IA Watch, June 25, 2015) ...