Examinations

Consider that you’ve been served notice. OCIE’s latest risk alert pinpoints the five most troublesome areas found during exams. They’re topics that advisers should have ...

Words are powerful. Take the custodian that, when notified that OCIE examiners were conducting an exam of an investment adviser, sent correspondence to the IA’s ...

If your firm is following the trend of more IAs opening up branch offices, you’re advised to develop compliance P&Ps for monitoring the locations.    ...

‘Tis the season for joy – and it seems OCIE exams of advisers. We’ve heard the same thing from many people across the country over ...

When the federal fiscal year ended Sept. 30, OCIE had achieved its highest number of annual exams in seven years. Its IA/IC exams topped 1,600 ...

The SEC has confirmed that it has succeeded in bolstering its staffing in the investment adviser/investment company exam program by roughly 20%. The Commission had ...

Maybe the fourth time’s the charm for Moloney Securities Co. and its President and Chief Investment Officer Joseph Medley, Jr. After three separate SEC examinations ...

This matter concerns Moloney’s multiple and repeated violations of the Advisers Act, even after the staff of the Commission’s Office of Compliance Inspections and Examination ...

A source shares language purported to come from an OCIE exam deficiency letter dealing with the custody issue of moving funds between accounts and custodians.

As the two major presidential candidates prepare to verbally joust in their first debate, OCIE is fulfilling its promise to examine advisers on their compliance ...