Tag: SEC Examinations
SEC division of examinations issues risk alert on marketing rule compliance: Key observations for investment advisers
The SEC’s Division of Examinations (the “Division”) recently issued a Risk Alert to provide investment advisers, investors, and market participants with practical guidance regarding compliance with the amended Rule 206(4)-1 under the Investment Advisers Act of 1940 (the “Marketing Rule”). The December 16, 2025 Risk Alert follows prior alerts addressing general prohibitions, compliance programs, books […]
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UK election and SEC Marketing Rule: key takeaways
Explore our RegTech Reports. Your trusted source for essential insights into regulatory technology and industry updates. This curated collection of reports, blogs, and video series covers a wide range of topics, from upcoming regulatory changes to the latest technological advancements, helping you navigate the complexities of compliance with confidence.
Behind the Curtain – SEC’s Risk-Based Approach to Examinations
The SEC Division of Examinations (“EXAMS”) issued a Risk Alert describing EXAMS’ risk-based approach for selecting registered investment advisers to examine and determining the scope of examinations. The Risk Alert included an example of a typical initial request for documents and information, as well as examples of additional information that EXAMS may request during the examination process. The Alert identified three (3) components used to assess an adviser’s risks and scoping examinations.
HEADS UP: SEC Division of Examinations
identifies gaps and signals need for main office policies and procedures to be applied at branch office locations