SEC Examinations

The agency will release 'quite a bit of guidance' to help with compliance with the new IA ad rule 'between now and the November compliance ...

When examiners find a compliance issue that appears to have been missed by a firm, it naturally makes them wonder what else the firm hadn’t ...

"The funds we requested will support only about a 5 percent increase in the number of staff that examine investment advisers"

There have been several recent reports that SEC examiners appear to be giving out more deficiencies. 'It was a book' was how one described a ...

One takeaway: Even if you’re at a private equity fund adviser, be sure your custodian sends quarterly statements to investors—even if the investors have no ...

This is a copy of an SEC document request letter given to a private equity fund adviser in a recent exam

This is a copy of an SEC document request letter that went to a private fund adviser

RCW has taken the nearly 3,000 word staff release and converted the guidance into a list of do’s and don’ts

“We’re showing it again to them every quarter,” the CCO continues. The math allows the client to duplicate the calculation, if desired

The DOE states that one topic that could come up on RIA exams is whether “sufficient resources exist to perform compliance duties”