SEC Examinations

In this first of a three-part series on recent exams, we pass along a list of other tips provided by sources talking with RCW about ...

Sources have shared with RCW questions from what’s described as a new Division of Examinations sweep exam looking at how firms handle use of e-devices ...

The SEC Enforcement Division works with DOE examiners to look for 'misconduct' and using sophisticated data analysis 'to identify potential violations'

"Another way that we work to address the declining trust in the financial markets is by conducting proactive enforcement sweeps and initiatives that specifically target ...

'Proactive compliance' comes down to three things, said Enforcement Director Gurbir Grewal. 'That’s what we’re looking for from each of you'

The new ad rule requires firms to be able to substantiate the ads’ claims. 'This is a great tool for us,' said the SEC ...

A peer shares a DOE exam letter that focused on ESG

A clear message being conveyed by the alert is that advisers better be able to 'substantiate material statements' in their ads

The staff will review whether investment advisers have adopted and implemented written policies and procedures that are reasonably designed to prevent violations

The onus falls upon the adviser to confirm that its auditor is both registered and subject to PCAOB inspection