SEC Examinations

Many SEC examination document request letters ask advisory firms for a copy of their organization chart. But finding an org chart for the Commission is ...

You can add another idea to the ever-growing heap of alternatives offered to address the SEC’s resource constraints limiting the number of investment adviser exams. ...

SEC Chair Mary Jo White has asked Commission staff to conduct an evaluation of the concept of permitting third party audits or compliance reviews of ...

Forget about user fees to pay for more investment adviser exams – at least for now. A recent letter from House Republicans to SEC Chair ...

Private equity is benefitting from greater transparency but should consider further improving their disclosures, says SEC Commissioner Kara Stein. She pointed to the need for ...

This is a copy of an SEC document request letter sent to an advisory firm in 2014.

This is an SEC document request letter from an exam out of the San Francisco regional office begun in 2013.

A little-noted aspect of the first set of examinations of private equity shops by the U.S. Securities and Exchange Commission is that the agency in ...

Word has filtered out that the first wave of examinations of buyout firms by the U.S. Securities and Exchange Commission has not exactly gone swimmingly. ...

Sponsors who get caught improperly charging fees to portfolio companies, and who think the issue will stay between them and the US. Securities and Exchange ...