SEC Examinations

“It’s poking the bear. It’s giving the impression of being uncooperative, and the impression that you have something to hide”

This is the Division of Examinations' exam brochure

Last summer, the SEC released a risk alert designed to help investment advisers prepare for their next DOE exam. Now, the Commission returns the favor ...

This DOE risk alert provides insights into how the SEC selects B-Ds to examine, and topics to query

This is SEC 2866 that covers rules around providing information during an examination

As with exams over the past year, the DOE quizzed about the use of electronic communications for business purposes

A source tells us of a new inquiry seen in a current exam. Examiners are probing the use of so-called 'shared work platforms,' like Google ...

Compliance officers must remain vigilant, and their bosses need to provide “the proper resources” to compliance departments, counseled the SEC Division of Examinations Director Richard ...

This tip sheet for how to handle regulator and examiner interviews comes courtesy of Peter Guarino, president/CCO at Compliance4 in Falmouth, Maine

"Compliance officers and their staff must remain vigilant and scan the horizon for new and emerging risks to ensure their compliance programs continue to offer ...