Examinations

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

'Greenwashing' a target-rich environment

As dollars shrink, fraud risks come in three waves, experts warn

A peer shares questions about ESG taken from a recent DOE exam

Explosive growth has caused friction between advisers, investors

Firms caught in 'double whammy'

'It’s a much more expansive universe,' expert warns

Questions include RFPs, DDQs

Substantiation requirements give regulators entre into private funds' vaults

Still no sign that a widely anticipated SEC sweep looking at compliance with the new advertising rule has commenced. Yet examiners are asking lots of ...