Statements (33)
| Predicate | Object |
|---|---|
| gptkbp:instanceOf |
gptkb:regulatory_process
|
| gptkbp:appliesTo |
broker-dealers
investment advisers mutual funds registered investment companies |
| gptkbp:authority |
gptkb:Investment_Advisers_Act_of_1940
gptkb:Investment_Company_Act_of_1940 gptkb:Securities_Exchange_Act_of_1934 |
| gptkbp:canBe |
routine
for cause sweep examination |
| gptkbp:cause |
recommendations for improvement
deficiency letter enforcement action |
| gptkbp:conductedBy |
gptkb:U.S._Securities_and_Exchange_Commission
SEC Office of Compliance Inspections and Examinations |
| gptkbp:focusesOn |
conflicts of interest
cybersecurity compliance policies books and records disclosure practices anti-money laundering controls |
| gptkbp:frequency |
risk-based
|
| gptkbp:mayInclude |
interviews with personnel
document requests onsite visits testing of controls |
| gptkbp:nowConductedBy |
SEC Division of Examinations
|
| gptkbp:purpose |
ensure compliance with securities laws
|
| gptkbp:result |
examination report
|
| gptkbp:bfsParent |
gptkb:SEC-registered_investment_advisers
|
| gptkbp:bfsLayer |
7
|
| http://www.w3.org/2000/01/rdf-schema#label |
SEC examinations
|