Examinations

'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 ...

This is the SEC's brochure that outlines its examination program for registrants