SEC Examinations

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 ...

From the fine folks at Iron Road Partners (and former SEC examiner Igor Rozenblit) comes these tips on how to handle examinations.   

Funds face 'stress-test'

This new one asks for the adviser’s “internal definition of any terms that relate to” environmental, social and governance and socially responsible investing

A fresh batch of SEC exam and deficiency letters has come into RCW from various sources. In part 3 of our series on hot exam ...

The list continues to grow of areas of interest among SEC examiners