Examinations

If you're a newly-registered adviser, look for a letter from the SEC "in the next couple of weeks" that would signal you're the subject of ...

In speeches and a sweep letter, the SEC demonstrates it is moving determinedly toward eyeing private equity fund advisers for signs that clients are being ...

Sterner levels of due diligence by savvy investors, especially institutions, have led to increasing requests for advisers to fork over more documents - including their ...

OCIE officials have made no secret that they're going to set their sights on many of the newly registered private fund advisers (IA Watch, March ...

While OCIE won't divulge everything that goes into its risk assessment when picking out exam targets, director Carlo di Florio ticked off potential areas for ...

It doesn't appear that the SEC's sweep letter has gone to many private equity fund advisers but the consensus around the 4-page document is that ...

The CCO had been through many regulatory exams over the years but nothing like this one. "They picked apart my fund business," says the CCO ...

Recently an investment advisory firm received a stern deficiency letter following an SEC exam for failing to maintain adequate records to back up a portfolio ...

For years, mostly institutional investors would issue their RFPs to advisers with that one line that would disarm: "Please include a copy of your most ...

It's clear the SEC is trying to find ways to conduct its oversight role in a cheaper and more efficient manner. One sign is the ...