SEC Examinations

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 ...

It’s well established that examiners will likely question adviser accounts with little trade activity that were moved from 401(k) plans (IA Watch, March 5, 2015). ...

While FINRA’s long been interested in supervision of branch offices (IA Watch, Dec. 12, 2011), there are signs OCIE’s taking a deeper interest in this ...

Now that OCIE has released its 2015 exam priorities, we checked with some of your peers who have been through recent exams to ask them ...

Firms that remain stingy when it comes to supporting a compliance department should heed the lessons spawned by Ambassador Capital Management. The Detroit-based RIA once ...