SEC Examinations

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 ...

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.