SEC Examinations

The SEC has put together a dedicated group to examine private equity and hedge funds, after the 2010 Dodd-Frank law required the funds to be ...

This is a copy of an SEC document request letter that went to a private equity fund adviser in late 2013. This comes from an ...

This is a copy of an SEC document request letter that went to a private fund adviser in 2013. This is a so-called “presence exam” ...

This letter, released by OCIE in 2014, was meant for firms that had never been examined. It details OCIE's initiative to visit some of these ...

OCIE has released its 2014 list of exam priorities, with five new areas examiners will be asking investment advisers about this year. These include whether ...

Prison time may well be in the future of two former portfolio managers after federal juries in New York brought separate convictions last week.Michael Steinberg ...

Apparently it's called a "corrective action review" and OCIE's projecting that it will occur in 5% of IA/IC exams. If examiners find many deficiencies and ...

Your planning for an SEC exam just got simpler. Until now, OCIE's never released its list of exam priorities - until last month.IAs and other ...

You may never have heard of Ken Joseph but he's about to have a big impact on how the SEC examines investment advisers and companies. ...

It may have taken longer than expected and result in fewer examiners, but the SEC's Division of Investment Management expects to bring on board 5-6 ...