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Examinations: Document Request Letters (186)
Your search for Examinations: Document Request Letters returned 186 results.
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5/16/2019 | Content area: Investment Adviser
Similar to about 40% of advisers, the firm indicated on its Form ADV, Part 1 that it has custody. But when OCIE examiners showed up for the first time...
5/01/2019 | Content area: Investment Adviser
This exam request letter went to an advisory firm in 2019.
4/30/2019 | Content area: Investment Adviser
This letter came from a 2019 OCIE exam of an IA.
4/22/2019 | Content area: Investment Adviser
An adviser shares its recent exam request letter.
4/15/2019 | Content area: Investment Adviser
This OCIE exam letter features questions aimed at how the adviser handles its senior clients. It also showcases an example of a trade blotter that OCI...
4/11/2019 | Content area: Investment Adviser
A glance at a recent OCIE document request letter leaves no doubt of examiners’ interest in advisory fees. This isn’t a state secret given the topic a...
4/03/2019 | Content area: Investment Adviser
This is another example of a recent OCIE document request letter sent to an RIA.
4/02/2019 | Content area: Investment Adviser
This is a copy of an OCIE exam letter that went recently to an investment adviser.
4/01/2019 | Content area: Investment Adviser | Private Fund
This is a recent exam letter received by an investment adviser that features private funds.
3/29/2019 | Content area: Investment Adviser
A source passes on to us the document request letter that went to an adviser as part of OCIE's third cybersecurity sweep exam.
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...


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