SEC Examinations

This SEC exam letter from 2023 probes fees and advertising

It just may be more anticipated than a Hollywood blockbuster: How will SEC examiners press advisers on complying with the new advertising rule?

Other examples that examiners will look for include C-level support for a robust compliance program; a lack of double standard treatment for C-level staff and ...

It doesn’t appear SEC examiners interest in advisers that pursue ESG strategies is dulling. RCW has obtained two new Division of Examinations document request letters ...

This second in a new series on exams conducted by the SEC’s Division of Examinations shares strategies for acing your next one

In this first of a three-part series on recent exams, we pass along a list of other tips provided by sources talking with RCW about ...

Sources have shared with RCW questions from what’s described as a new Division of Examinations sweep exam looking at how firms handle use of e-devices ...

The SEC Enforcement Division works with DOE examiners to look for 'misconduct' and using sophisticated data analysis 'to identify potential violations'

"Another way that we work to address the declining trust in the financial markets is by conducting proactive enforcement sweeps and initiatives that specifically target ...

'Proactive compliance' comes down to three things, said Enforcement Director Gurbir Grewal. 'That’s what we’re looking for from each of you'