SEC Examinations

Would-be SEC chairman Gary Gensler had a fairly sunny day of it at his Senate confirmation hearing, but there was a brief rumble that, for ...

A former college basketball player tried to be an all-star for his pro clients and wound up fouling out, the SEC says in a new ...

15% of the SEC-registered IA population was examined in FY2020

“CRS is a different beast,” said Anil Abraham. Anything disciplinary related affects your answer on the form. The SEC has been clear “if you have ...

Over the past five years, the number of SEC-registered IAs has jumped 16%

The DOE report tips its hat to CCOs, recognizing that “compliance programs, CCOs and other compliance staff play critically important roles at firms” and provides ...

RCW has obtained a new DOE document request letter proving opportunity zone investments have attracted examiner interest

Having P&Ps in place give staff direction, make them feel safer and can mitigate a firm’s risks. However, making a COVID vaccine a condition of ...

The court-appointed monitor in the ongoing SEC case against GPB Capital is turning to a veteran Washington, D.C. fixer to help clean things up, RCW ...

New York private fund adviser GPB Capital is vowing to fight back against state and federal accusations that it was all an elaborate fraud. “We ...