SEC Examinations

SEC examiners will seek documents showing firms’ organizational structure and business lines, as well as any groups and even third-party vendors, responsible for helping them ...

Private fund advisers struggle with conflicts of interest, fees and expenses and putting together the right P&Ps to mitigate the risk of material, non-public information ...

Officially, the SEC is suing a South Florida digital investment adviser for failure to maintain and hand over its books and records—including those behind a ...

SEC regulators will examine for “good faith” efforts to comply with the Commission’s new Reg BI rule, OCIE says in a new risk alert. Chairman ...

Examples of the areas the staff may focus on during examinations are discussed below

The OCIE request raises the specter of a long stretch of working from home

OCIE has moved to conducting examinations off-site through correspondence, unless it is absolutely necessary to be on-site

The three allegedly altered and withheld documents after OCIE examiners commenced an exam in 2016

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The "nebulous nature of such principles allows great latitude to investment advisers”