SEC Examinations

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 ...

It’s not the sort of correspondence you want to find coming from your regulator. A source has shared with RCW an e-mail from the SEC’s ...

Now, for the first time, a criterion for the division granting cooperation credit is how a firm handles an SEC exam

Risk alert details observations gleaned from exams of more than 50 fund complexes and nearly 100 investment advisers

The consultant argues that you’ll never be able to beat the array of winning funds available from the TSP nor its lower fees and you ...

Many hot topics will continue, including asset verification (DOE confirmed more than $2 trillion in assets in FY 2021) and climate risks (looking at how ...