SEC Risk Alert on Selecting and Scoping Adviser Examinations
SEC staff has published a Risk Alert on how the SEC selects advisers to examine and determines the scope of risk areas to examine.
September 07, 2023
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Investment adviser CCOs are continually preparing for their next SEC examination. Staying on top of the latest trends in exam process and focus can help ensure that their preparations are efficient and effective.
April 06, 2023
SEC Publishes 2023 Examination Priorities
The SEC’s 2023 examination priorities reflect the agency’s broader focus areas, emphasizing an adviser’s fiduciary duty to act in its clients’ best interest, cybersecurity, ESG, and compliance with the new Marketing Rule.
February 09, 2023
2022 IAA Compliance Workshops Takeaways – Focus on the Marketing Rule
SEC staff takeaways on Marketing Rule exams at 2022 IAA Compliance Workshops.
November 17, 2022
SEC Publishes Examination Priorities for 2022
The SEC’s Division of Examinations has issued its examination priorities for 2022, which are in line with recent regulatory initiatives and rulemakings directed at advisers.
April 01, 2022
The SEC’s Spotlight on ESG – Is Your Firm Ready to Shine?
The past year has seen a significant increase in the U.S. Securities and Exchange Commission’s (SEC’s) focus on environmental, social, and governance (ESG) issues.
June 30, 2021
SEC Risk Alert Outlines ESG Exam Focus Areas, Related Deficiencies, Effective Compliance Practices
SEC Risk Alert Outlines ESG Exam Focus Areas, Related Deficiencies, Effective Compliance Practices April 12, 2021 The SEC’s Division of Examinations has issued a Risk Alert describing areas of...
April 12, 2021
Seven Tips for Preparing for an SEC Exam
Compliance Conference Takeaways While the pandemic has slowed down much of life, it has had little impact on one of the bigger challenges that an investment advisory compliance effort will...
March 30, 2021