SEC Examinations

Keep your documentation of employee compliance training. Examiners asked for it, as well as a list of all principal transactions, cross trades and any loans ...

Compliance program rule issues perennially found on OCIE's "Top 5" deficiencies list

Advisers were encouraged to gather their business staff with compliance so that everyone “understands all of the revenue sources” coming into a firm

“We cannot overstate a firm’s continued need to assess whether its compliance program has adequate resources to support its compliance function. Resources means a lot ...

"We notice on exams when firms hire someone for the role to check the box but do not support or empower them.  We notice when ...

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 ...