Regulatory Examinations & Enforcement Counsel

Home » Blog » Regulatory Examinations & Enforcement Counsel - Page 4
SEC Deficiency Letter
Blog | Investment Adviser Regulatory Counsel (SEC & State) | Other | Regulatory Examinations & Enforcement Counsel

Important Actions to Take When Responding to an SEC Deficiency Letter

February 10, 2022 by

A deficiency letter from the SEC isn’t the end of the world. A significant majority of firms find one in their mail months after examiners have come and gone. The most SEC common findings include compliance shortcomings related to the protection of senior investors, business continuity plans, and cybersecurity. … Read More

The Most Common Outcomes from an SEC Examination
Blog | Investment Adviser Regulatory Counsel (SEC & State) | Other | Regulatory Examinations & Enforcement Counsel

The Most Common Outcomes from an SEC Examination

February 3, 2022 by

Compliance officers and senior management tend to express relief once the U.S. Securities and Exchange Commission’s (“SEC”) Division of Examinations (“EXAMS”) ends its preliminary exit interview of their firm. Even if you’ve provided all requested documentation and answered all questions confidently, sometimes the most excruciating part of the exam process begins once SEC staff walks out your door.… Read More

Client Contracts, Independent Contractor & Employee Agreements & Other Documents | Contract Review | Employment Law | Legal Risk Management Tips | Regulatory Examinations & Enforcement Counsel

The Anatomy of an Employment Agreement

January 28, 2022 by

You have found a new candidate that appears to be a great fit for your organization and are preparing to make an offer.  But what should that offer look like – is an offer letter better or an employment agreement or both?… Read More

Understanding Elements the SEC is Trying to Identify During an Examination
Blog | Investment Adviser Regulatory Counsel (SEC & State) | Regulatory Examinations & Enforcement Counsel

Understanding Elements the SEC is Trying to Identify During an Examination

January 20, 2022 by

Undergoing a visit and/or an examination from the U.S. Securities and Exchange Commission (“SEC”) can be daunting, confusing, and draining. Firms throughout the industry are told that preparation is vital to successful SEC interactions, but how do you know what to prepare for? What steps do you need to take to minimizing the chances of your firm not receiving a deficiency letter with a long list of infractions. … Read More

Important Considerations for Your Initial Examination Document Request
Blog | Regulatory Examinations & Enforcement Counsel

Important Considerations for Your Initial Examination Document Request

November 15, 2021 by

In a perfect world, your preparation for a regulatory exam would begin no later than the first day your firm is open for business. Every adviser registered under Section 203 of the Investment Company Act of 1940 (the ’40 Act) is required to make and keep accurate books and records relating to its investment advisory business.

… Read More

1 2 3 4 5 6 7 … 9