Examinations

OCIE staff intends to conduct examinations of registered investment advisers that employ or contract with supervised persons that have a history of disciplinary events. These ...

You’ve been put on notice that OCIE will be doing a sweep exam looking at compliance P&Ps over the selection of mutual fund share classes ...

This is a copy of an SEC exam letter that went to an investment adviser in New York in 2016.

This matter involves an investment adviser that improperly registered with the Commission, failed to produce documents to the Commission’s examination staff during the course of ...

Kalucha provided false investigative testimony to the SEC on Feb. 25, 2014, during the investigation that led to the SEC's action. Among other things, he ...

A peer shares the firm's SEC document request letter. The firm had never been examined before. A topic pursued by examiners was how the firm ...

A new report from the SEC’s Inspector General reveals that OCIE expects to receive a consultant’s report by September on ideas for bulking up its ...

President Barack Obama has called on the doubling of the funding for the SEC from its 2015 level by 2021. In his 2017 fiscal year ...

New OCIE Director Marc Wyatt is putting his stamp on the IA exam program in a big way. Sources tell IA Watch that reports OCIE ...

There’s a lot that’s new in FINRA’s 2016 exam priorities letter. Data quality, internal audit and client on-boarding are “in” compared with the 2015 letter ...