SEC Examinations

"We cannot be everywhere all at once. Strong investor protection requires empowered compliance professionals and strong cultures of compliance within firms"

One of the areas sure to be scrutinized on exam is whether you address compliance issues 'promptly … when identified'

Dig into our recap of the DOE's new FY '25 exam priorities, see why it pays to listen to the CCO, a caution for advisers ...

The bulk of the release aims at RIAs, showcasing a slew of hot exam topics

This is the DOE's priorities for FY 2025

Check out an extensive new exam letter that digs into the operations of a private equity fund adviser

RCW shares a new SEC exam sweep document request letter going to advisers

Given that the SEC ushered in a quicker trade settlement rule in May, you would expect the DOE to conduct a sweep exam to assess ...

Word on the street reveals SEC examiners are slowly returning to on-site exams, although many remain virtual. Their interest in adviser marketing has only heated ...

You don’t need to be a psychic to predict enforcement troubles would follow