SEC Examinations

OCIE vows to "review for the inappropriate use of complex investment products and evaluate the robustness and effectiveness of related supervisory policies and procedures.  OCIE ...

Of the 16 registered private funds that faced discipline this year, only one disclosed a pending SEC enforcement matter in advance.

Observations from nearly 40 examinations of SEC-registered IAs main offices and branch offices detailed

RCW has obtained a copy of OCIE's newly launched AML sweep exam

"Simmons created and saved a blank ‘memo to file’ concerning the October 2016 Investment that contained only the subject and a date ‘10-21-16,’ but had ...

The latest sweep exam letter reveals a growing sophistication in OCIE’s grasp of cybersecurity

The ICO letter states UK firms regulated by the UK’s FCA and the SEC “are allowed to turn [records] over to the SEC in the ...

There’s no indication in the complaint of a subsequent OCIE exam, triggering a question as to how the SEC would have learned of this, raising ...

The SEC has handed over its private fund adviser compliance “playbook” but now it’s up to the industry to execute the plays, a pair of ...

The settlement asserts Meredith Simmons shared the document with OCIE examiners without divulging when she really created it