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Examinations: Never-Been-Examined Firms (33)
Your search for Examinations: Never-Been-Examined Firms returned 33 results.
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5/01/2019 | Content area: Investment Adviser
This exam request letter went to an advisory firm in 2019.
7/17/2018 | Content area: Investment Adviser
This letter went to an advisory firm within the SEC's New York Regional Office.
2/15/2018 | Content area: Investment Adviser
The SEC’s FY 2019 budget request tackles a three years running flat budget and two-year hiring freeze in a bid to stay on top of the growing and ever-...
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
Consider this another never-been-examined-before adviser undergoing an SEC exam.
10/24/2017 | Content area: Investment Adviser
This one hails from the SEC's Miami Regional Office.
10/20/2016 | Content area: Investment Adviser | Broker-Dealer
The SEC has confirmed that it has succeeded in bolstering its staffing in the investment adviser/investment company exam program by roughly 20%. The C...
8/02/2016 | Content area: Investment Adviser
This is a copy of an SEC exam letter that went to an investment adviser in New York in 2016.
4/18/2016 | Content area: Investment Adviser
A peer shares the firm's SEC document request letter. The firm had never been examined before. A topic pursued by examiners was how the firm handled w...
2/10/2016 | Content area: Investment Adviser | CPO/CTA | Private Fund
President Barack Obama has called on the doubling of the funding for the SEC from its 2015 level by 2021. In his 2017 fiscal year budget request relea...
7/30/2015 | Content area: Investment Adviser
IA Watch has obtained a new SEC document request letter received by an SEC-registered advisory firm based in London, England.   The document resembles...
7/28/2015 | Content area: Investment Adviser
This is an OCIE exam document request letter that went to an SEC-registered investment advisory firm based in London, England. The exam began in July ...
4/20/2015 | Content area: Investment Adviser
The national exam staff intends to focus on certain never-before-examined registered investment companies. Such examinations will focus on the followi...
4/09/2015 | Content area: Investment Adviser | Private Fund
The gift arrived just days before last Christmas. Four SEC examiners were coming to town, and would arrive just as the New Year began. What was even m...
11/13/2014 | Content area: Investment Adviser | Private Fund
OCIE examiners have worn their traveling shoes of late, visiting a variety of firms and conducting a mix of quick-hit inquiries and lengthy visits. Re...
11/11/2014 | Content area: Investment Adviser
This is an SEC document request letter sent to an advisory firm in 2014 from the SEC's Atlanta Regional Office.
11/11/2014 | Content area: Investment Adviser
This never-been-examined SEC document request letter asks for fewer records, indicating examiners may have made only a short visit.
11/11/2014 | Content area: Investment Adviser
This letter, sent to a never-been-examined firm, features an unique table that examiners wanted the adviser to complete. It would provide the number o...
9/03/2014 | Content area: Investment Adviser
“You never get a second chance to make a great first impression.” That age-old adage certainly applies to an SEC exam. From the moment examiners walk ...
8/28/2014 | Content area: Investment Adviser
The biggest mistake advisers make during an SEC exam is not listening carefully to what examiners are asking, according to Michelle Jacko, managing p...


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