SEC Examinations

Staff intends to focus on registered investment advisers that provide advisory services from multiple locations. The examinations will focus on evaluating the design and effectiveness ...

The SEC has confirmed that it has succeeded in bolstering its staffing in the investment adviser/investment company exam program by roughly 20%. The Commission had ...

Last fall, we reported how Fidelity’s contract could open advisers up to a claim that they hold custody of client funds – and thus would ...

Professional athletes, with their astronomical salaries, high-dollar endorsement deals and often free spending ways, have historically been favored marks for fraudulent schemes. For the second ...

The SEC will remain focused on never-before-examined investment advisers and investment companies and hopes to ratchet up the number of exams it conducts with a ...

Some may flinch at the thought of government asking private entities for the names of staffers who have made political contributions but OCIE’s doing just ...

A peer shares the firm's SEC document request letter. The firm had never been examined before. A topic pursued by examiners was how the firm ...

An SEC sweep exam looking at pay-to-play issues most likely explains this document request letter. This came out of the SEC's Chicago regional office.

A new office within the SEC’s Office of Compliance Inspections and Examinations will consolidate and streamline OCIE’s risk assessment, market surveillance, and quantitative analysis teams. ...

This year could bring the end of Advisers Act rule 206(3)-3T (temporary rule for principal trades with certain advisory clients) – although this has been ...