SEC Examinations

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

Limit video calls with examiners to 45-60 minutes because “people get tired” during these calls

A simple bank error and a malicious employee put a Silicon Valley venture capitalist at the center of what has now become a multi-count criminal ...

“We didn’t anticipate that this would go on as long as it has,” OCIE Director Peter Driscoll said

A former SEC examiner, once facing decades behind bars on accusations that he leaked secrets of ongoing investigations to sweeten his job prospects, has agreed ...

Any CCO should sit in on employee video calls with the SEC, just as a compliance officer—or other firm examination liaison—should be in the room ...