SEC Examinations

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.

This letter goes beyond 12b-1 fees to look at broader "revenue sharing."

OCIE chalked up more than 2,000 IA exams in FY 2018, visiting 17% of all firms. These numbers may be out of reach in FY ...

If your firm was being examined or about to be when the government shutdown in late December, expect that OCIE will be reaching out soon ...

IA Watch has obtained a copy of an Excel file demonstrating the trade blotter format OCIE would like firms to submit during an SEC exam. ...

The New Year starts with advisers facing OCIE exams left wondering what they should do. And they’re not alone.   Marlon Paz used to work ...