Examinations

You’re advised to ensure that your disclosures around use of testimonials and endorsements are sound, according to a new risk alert from the SEC’s Division ...

Longstanding GP-LP tensions aggravated as private equity seeks shelter

Think about 'consent mechanisms,' expert urges

This is the DOE's second risk alert tied to the new IA ad rule

Case 'should scare' advisers, expert says

A peer passes on an adviser's recent DOE exam document request letter

RCW shares questions from a recent DOE advisory firm exam that focus on the firm's organizational structure and its key personnel

A peer shares a DOE request that focused on cybersecurity

This is an example of a DOE document request letter issued to a newly registered investment advisory firm

The new request shared with RCW asks the adviser if it updated its P&Ps for the new ad rule and, if not, to explain why