Examinations

This tip sheet for how to handle regulator and examiner interviews comes courtesy of Peter Guarino, president/CCO at Compliance4 in Falmouth, Maine

Private funds' thinking has evolved from "risk management" to "value creation," PwC's Eric Janson says on RCW webinar

'You cannot get deals if you’re not texting and your competitors are,' FirmScribe CEO says from PFCFO New York Forum.

Gain takeaways from this 2024 SEC exam letter

Eye an SEC exam document request letter from an ongoing exam

Topics flagged as "new for 2024" include crypto, OTC quotations in fixed income securities, advertised volume and the market access rule

The alert recounts the fundamental compliance rules under the SEC’s security-based swaps regime, and points out where some swap dealers are coming up short

Gain takeaways from the latest SEC risk alerts

Our source describes the new document request letter from an ongoing exam as representative of a nationwide sweep by DOE examiners

A source shares with RCW a copy of a new DOE exam letter described as a new sweep exam tied to the new IA marketing ...