Examinations

This is an SEC document request letter for an examination of an investment adviser out of the Atlanta Regional Office.

It may be quicker to complete a so-called "presence exam," but if SEC examiners find bothersome activity - hidden fees, expenses unfairly allocated, undisclosed conflicts ...

It was the speech that created a stir. This Spring, David Blass, chief counsel in the SEC's Division of Trading and Markets, put the industry ...

That exam initiative announced last fall by the newly-named OCIE Director Drew Bowden continues to percolate but more time is needed before the agency can ...

This is a copy of a so-called “presence exam” letter that went to a private equity fund adviser in 2013.

This is likely an SEC document request letter sent as part of OCIE's “presence exam” initiative in 2012. This went to a private equity fund ...

It's been reported that SEC examiners are asking tough questions about expenses charged to investors by hedge and private equity fund advisers. Sources tells us ...

That new OCIE exam alert on custody spotlights how firms erred with the rule but also can be an instructive tool you can use to ...

This settlement of an SEC enforcement case zeroes in on the issue of a private equity fund operating as an unregistered broker and earning transaction-based ...

These advisers were charged with poor compliance P&Ps for not requiring a review of portfolio manager valuations and that were not reasonably designed to ensure ...