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Examinations: Document Request Letters (183)
Your search for Examinations: Document Request Letters returned 183 results.
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3/22/2019 | Content area: Investment Adviser
A peer shares the questions OCIE examiners asked in a document request letter to the advisory firm in an exam initiative directed at registered invest...
3/19/2019 | Content area: Investment Adviser
The SEC orders the recipient to preserve records and to submit information to help the agency's investigation.
3/19/2019 | Content area: Investment Adviser
This letter goes beyond 12b-1 fees to look at broader "revenue sharing."
9/11/2018 | Content area: Investment Adviser
This exam letter, from 2018, asks detailed questions about the adviser's mutual fund.
9/11/2018 | Content area: Investment Adviser
A peers shares the firm's recent exam document request letter.
8/14/2018 | Content area: Investment Adviser
Here's a portion of an OCIE document request letter dealing with cryptocurrencies.
7/25/2018 | Content area: Investment Adviser
A sources shares with IA Watch a copy of an OCIE document request letter that focuses on how the adviser handles cryptocurrencies.
7/12/2018 | Content area: Investment Adviser
Here are 11 questions found within an OCIE document request letter sent to an advisory firm that specifically asks about how the firm handles its seni...
6/26/2018 | Content area: Investment Adviser
This document request letter, sent to an advisory firm, asks about senior clients.
3/01/2018 | Content area: Investment Adviser
Although the SEC’s proposed target date fund rule never became final, the lack of regulation hasn’t deterred OCIE. IA Watch has obtained a document re...
2/13/2018 | Content area: Investment Adviser
A peer shares OCIE's target date sweep letter that the firm received.
2/13/2018 | Content area: Investment Adviser
A peer shares the OCIE document request letter received by the firm. This one concentrates on wrap fee programs. It also featured an example of an ext...
2/13/2018 | Content area: Investment Adviser
This exam, out of the SEC's Boston Regional Office, seeks extensive information on the adviser's private funds.
2/13/2018 | Content area: Investment Adviser
This letter includes language directed at the adviser if it makes a privilege claim.
2/13/2018 | Content area: Investment Adviser
This document request letter asks many questions about possible cybersecurity events suffered by the adviser
2/13/2018 | Content area: Investment Adviser
This is a never-been examined request letter that went to an adviser.
2/13/2018 | Content area: Investment Adviser
This is a common exam letter.
2/13/2018 | Content area: Investment Adviser
Consider this another never-been-examined-before adviser undergoing an SEC exam.
1/30/2018 | Content area: Investment Adviser
This is an initial document request letter sent to an investment adviser located within the SEC's Philadelphia Regional Office.
1/26/2018 | Content area: Investment Adviser
A peer passes along the firm's initial document request letter from a recent SEC exam. This came out of the SEC's Philadelphia Regional Office.


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