Examinations

Fees and expenses for private equity fund advisers. Visits to never-been-examined investment companies. Cybersecurity. These are among the new items contained within OCIE’s just-released 2015 ...

One of the more surprising topics absent from OCIE’s new and shortened 2015 exam priorities list is custody. That issue has drawn examiners’ glare since ...

Boost your firm’s exam prep by getting “ahead of the concerns raised in” FINRA’s 2015 exam priorities letter, which was released Jan. 6. It cautions ...

Keynote Address at Columbia Law School Conference on Current Issues in Securities Regulation: The ‘Hot’ Topics

OCIE examiners have worn their traveling shoes of late, visiting a variety of firms and conducting a mix of quick-hit inquiries and lengthy visits. Reports ...

IA Watch has obtained several recent SEC document request letters (see related story). They vary. Most are for never-been-examined firms and included on-site visits. One ...

This is an SEC document request letter sent to an advisory firm in 2014 from the SEC's Atlanta Regional Office.

This never-been-examined SEC document request letter asks for fewer records, indicating examiners may have made only a short visit.

This letter, from the SEC's Los Angeles Regional Office, went to a broker-dealer in 2014. This letter features an unusual table of data that examiners ...

This letter, sent to a never-been-examined firm, features an unique table that examiners wanted the adviser to complete. It would provide the number of clients ...