SEC Examinations

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

The SEC has announced that the director of the Division of Examinations Peter Driscoll will be leaving the agency after 21 years on Aug. 14. ...

Given the frenetic consciousness whipped up by 2020, it would be understandable if you missed our warning last year over so-called “hedge” clauses. But SEC ...

The SEC has long asked advisers for documents related to their clients. Now there’s evidence you may be asked to hand over to examiners materials ...

“If you haven’t seen examiners in six plus years, you should expect to see examiners soon,” predicted John Walsh

The good news, examiners found, is that some advisers were on top of their ESG regimes. Regulators offer some tips from the best of the ...