Observations from SEC Examinations 2025: 4 Key Categories
This article from Fairview discusses observations from SEC examinations during the first few months of 2025.
September 26, 2025
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SEC Exams Risk Alert: Safeguarding Customer Records and Information at Branch Offices
This risk alert discusses common exam observations related to Regulation S-P at firms with branch offices.
April 26, 2023
SEC Exams Risk Alert: Observations Related to Regulation S-ID
This risk alert discusses the most frequent exam observations related to Regulation S-ID.
December 05, 2022
SEC Exams Risk Alert: Cybersecurity: Safeguarding Client Accounts Against Credential Compromise
This risk alert discusses “credential stuffing” and steps that registrants have taken to protect client accounts.
September 15, 2020
SEC Exams Risk Alert: Cybersecurity: Ransomware Alert
This risk alert encourages registrants to monitor CISA cybersecurity alerts related to ransomware.
July 10, 2020
SEC Exams Report: Cybersecurity and Resiliency Observations
This report describes industry practices related to managing cybersecurity risk and maintaining operational resiliency.
January 27, 2020
This 2019 Risk Alert from the SEC’s Division of Examinations outlines risks associated with the storage of electronic client records in the cloud or other network storage.
May 23, 2019
October 2022 Sample Examination Letter – Recordkeeping and Personal Devices
This is a sample SEC examination letter from October 2022 regarding recordkeeping and the use of personal devices.
October 19, 2022