SEC Examinations

The staff continued to observe deficiencies relating to supervision, including many of the same types observed in the 2017 Risk Alert



Given the many similarities, they could indicate that the ESG questions make up the agency’s current template for ESG exams

One clear takeaway for compliance officers is if your firm claims to invest in accordance with ESG standards, have P&Ps “associated with compliance oversight of ...

It’s smart to be nimble during an SEC exam. 'Be ready to pivot' and prep your staff that examiners can turn on a dime and ...

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 ...