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IA Watch’s The SEC Examinations Priorities Handbook

Quick Overview

The SEC Examinations Priorities Handbook includes 28 best practices and guidance for preparing you and your team for an exam, 20 examples of real-life SEC Exam Document Request Letters to test your readiness, 2 documents related to data elements on clients requested in SEC Document Request Letters and a first-day firm presentation to examiners along with 6 OCIE Risk Alerts.

Availability: In stock

Pubcode: ARGEXAMSGD
Price: $295.00

IA Watch’s The SEC Examinations Priorities Handbook

The SEC is clearly upping its game when it comes to the examination of registered investment advisers.  SEC examinations are on the rise and will only be increasing going forward.  Several SEC Regional Directors have stated that there will be a 40% increase in examinations of investment advisers in the Commission’s fiscal year 2018.  Should that 40% annual increase be achieved, this would mark the agency examining 15% of the RIA population in one year—the highest percent total in many years.

Instead, SEC examiners are now engaging in shorter, targeted inquiries that train on high-risk areas.  As compliance officers, it is more important than ever to be aware of the current exam priority areas and to best prepare your firm should you get the call from OCIE examiners notifying you that they are coming in for an on-site visit.  That call will be followed by a document request letter seeking a laundry list of many items.

The SEC Examinations Priorities Handbook includes 28 best practices and guidance for preparing you and your team for an exam, 20 examples of real-life SEC Exam Document Request Letters to test your readiness, 2 documents related to data elements on clients requested in SEC Document Request Letters and a first-day firm presentation to examiners along with 6 OCIE Risk Alerts. 

Here is a sample of some of the Document Request Letters included in the handbook:

  1. Business Development Company Sweep Exam Letter
  2. A Second SEC Document Request Letter looking at BDCs
  3. SEC Document Request Letter Focused on ETFs
  4. SEC sweep exam letter on Electronic Messaging
  5. SEC Exam Document Request Letter Focused on Advertising

Along with the handbook, your order also includes a companion CD with all of the book’s tools-you-will-use and more.

The SEC Examinations Priorities Handbook is published by IA Watch, a compliance service of Regulatory Compliance Watch, the industry's most respected online compliance service that thousands of your peers rely on for investment adviser, broker-dealer, CPO/CTA and private fund compliance guidance. It delivers up-to-the-minute news, exclusive analysis, comprehensive compliance tools you can use and a network of compliance peers standing at the ready to assist you. (www.regcompliancewatch.com)

Your 100% satisfaction is guaranteed. If for any reason you are not completely satisfied, simply return the book within 30 days for a full refund.

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