SEC Examinations

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

Working virtually may have taken its toll on examiners. They aren’t reading through all of the materials they’ve requested, frustrating responding CCOs.

The memo goes on to note that “a firm subject to SEC supervision cannot offer its services to customers if it is not willing to ...

We asked several experts to share their current tips for achieving success during an SEC exam

Examiners also wanted to know if the firm has cybersecurity insurance and if it made any claims and what the amount of losses were

“Quite frankly, it’s not if but when these days” that your firm will be hit with a cyber-attack