SEC Examinations

The RIAs are 'essentially caught between two regulators'

The Division is providing this information to help municipal advisors better understand the examination process and prepare for an examination

Remember that you have a compliance obligation to obtain an initial and an annual notice from these clients confirming that their SLOA instruction remains valid

The rash of SEC enforcement actions against advisers for marketing mishaps means when Commission staff talk about what not to do, it’s time to listen

"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