SEC Examinations

This is another example of a recent OCIE document request letter sent to an RIA.

This is a copy of an OCIE exam letter that went recently to an investment adviser.

This is a recent exam letter received by an investment adviser that features private funds.

A source passes on to us the document request letter that went to an adviser as part of OCIE's third cybersecurity sweep exam.

Last month we reported that the SEC’s latest cybersecurity sweep exam is in full swing (IA Watch, March 14, 2019). Now IA Watch shares with ...

A peer shares the questions OCIE examiners asked in a document request letter to the advisory firm in an exam initiative directed at registered investment ...

Back in December, we reported that sources were stating that the SEC was pivoting a bit from its focus on 12b-1 fees and share class ...

It’s hard to get a handle on how many advisers receive 12b-1 fees for placing clients in certain mutual fund share classes. Look to Form ...

It can be difficult to determine when an aging client is slipping into dementia and advisers can feel pressured that unnecessarily raising an alarm could ...

The SEC orders the recipient to preserve records and to submit information to help the agency's investigation.