The Securities and Exchange Commission is not the only regulatory body increasing the number of examinations in 2021. On September…
SEC exam Tag
How are you getting paid? That is the question that the SEC is focused on in recent regulatory examinations of…
Advanced planning for a regulatory exam remains a vital step in ensuring the compliance team is prepared when the exam…
For investment advisers currently going through an SEC exam, the process likely bears little resemblance to exams of old. Call…
In 2017, the SEC examined 2,114 investment advisers, approximately 15 percent of the 14,000+ registered investment advisers, the SEC confirmed…
The SEC is conducting “electronic messaging” examinations — mainly in the New York region — which include all forms of written communications related to an Adviser’s business.
The SEC met its stated fiscal year 2016 goal by examining 11 percent of the investment adviser pool, meaning over 1,300 advisers were covered.
Some SEC exams might not focus on cyber at all, but the ones that do are likely to now include a more in-depth examination of it.