Examinations

How does FINRA prepare for an exam? What are examiners looking for once they knock on your door? Here’s a peek into one senior examiner’s ...

A peer shares a copy of a sweep exam letter that looked at how the advisory firm handles and oversees electronic messaging.

OCIE’s been making the rounds lately, not on exams, but on tour. Last week, the agency completed its fourth and final outreach meeting of 2017 ...

Roll the dice and hope for no snake eyes. That’s what it can seem like when facing an OCIE exam these days. Your peers report ...

Next Tuesday, George Palathinkal should learn how much time he may have to spend behind bars. The 55-year-old former CFO of an investment adviser lied ...

Washington may be undergoing dramatic changes but there’s one constant: OCIE’s increasing exams of investment advisers.   “OCIE is business as usual. We’re still doing ...

Over a half-century removed from the last comprehensive review of market structure, a new study of the securities markets is targeted for completion in 2020. ...

You’ve heard before the best practice of showing examiners a PowerPoint presentation about your firm on the first day of their visit (IA Watch, Sept. ...

A peer shares a 2017 exam letter that OCIE sent to an investment advisory firm.

The five most frequent compliance topics identified in deficiency letters sent to SEC-registered investment advisers