SEC Examinations

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 ...

We made three recommendations to further strengthen the SEC’s IA/IC examination program.

EXAMS staff observed potential failures to conduct a reasonable investigation into an investment

Factors that go into the initial risk rating include the size of the firm, whether it maintains custody, if it employs many reps across numerous ...

Be sure you work out beforehand that the mock examiner will go beyond pointing out deficiencies and will also recommend 'how to fix them'

The first SEC document request letter of 2022 has come into our hands. It’s a short exam letter that our source tells us went to ...