SEC Examinations

IA Watch has learned that some Internet-only advisers, including “robo” advisers using computer-based programs, are receiving OCIE exam letters. A separate sweep also appears underway looking ...

You’ll be able to choose from several regional compliance meetings – the old CCOutreach formats – scheduled from June through September this year. OCIE and ...

Last year, we told you that OCIE had contracted with a Tennessee company, Capital Confirmation, to do electronic verification of accounts for custody inquiries during ...

Click here to open a Word file that a peer assembled based on the SEC's document request letter received by the firm in a 2014-2015 ...

The SEC’s stated 2015 examination priorities squarely include examining issues of importance to senior investors (IA Watch, Jan. 19, 2015). Both the Commission and FINRA ...

The national exam staff intends to focus on certain never-before-examined registered investment companies. Such examinations will focus on the following topics: compliance programs; annual contract ...

While you’re likely to breathe a sigh of relief once SEC examiners have closed your exam – especially if the outcome were successful – take ...

Recorded: March 24, 2015

It goes back some time, SEC examiners’ interest in GIPS at those firms that claim compliance with those standards (IA Watch, Nov. 22, 2010). The ...

Saying “it’s beyond time to act” on the lack of exams for IAs, SEC Chair Mary Jo White last week said permitting “a program of ...