SEC Examinations

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”

Most of the DOE’s new money would go to “examinations of investment advisers and broker-dealers”

We hope that firms' leadership, including those in compliance, legal, risk, and information security, across the financial services industry will review the priorities and consider ...

The latest exam letter reveals a depth of inquiry so far unseen in past cyber reviews

Ahead of proposed audit rule, staff has gone deep on audit trail

If the SEC Office of Inspector General’s latest investigation of the Division of Examinations were a report card, DOE would have earned a passing grade ...