SEC Examinations

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 ...

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%