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Examinations: Presence Exams (14)
Your search for Examinations: Presence Exams returned 14 results.
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2/19/2015 | Content area: Investment Adviser
This is a portion of a request letter sent by the SEC to a hedge fund of funds manager. This is another example of the types of requests made during t...
2/25/2014 | Content area: Investment Adviser | Private Fund
This is a copy of an SEC document request letter that went to a private fund adviser in 2013. This is a so-called “presence exam” letter.
9/30/2013 | Content area: Investment Adviser
It may be quicker to complete a so-called "presence exam," but if SEC examiners find bothersome activity - hidden fees, expenses unfairly allocated, u...
5/13/2013 | Content area: Investment Adviser
That exam initiative announced last fall by the newly-named OCIE Director Drew Bowden continues to percolate but more time is needed before the agency...
12/17/2012 | Content area: Investment Adviser
Since we first shared with you an SECdocument request letter from a new "presence exam" (IA Watch, Dec. 10, 2012), IA Watch has obtained two additiona...
12/10/2012 | Content area: Investment Adviser
IA Watch has obtained a copy of an SEC document request letter received by an adviser after the agency formally announced its new "presence exam" dire...
12/10/2012 | Content area: Investment Adviser
This is an SEC document request letter sent to an advisory firm. This letter hails from the Atlanta Regional Office. This may be a so-called “presence...
12/10/2012 | Content area: Investment Adviser
This SEC document request letter went to an adviser in the Atlanta Regional Office. This is from a so-called “presence exam.”
12/05/2012 | Content area: Investment Adviser
This is a copy of an SEC document request letter following the announcement of the new “presence” exams. This letter comes out of the Atlanta Regional...
10/22/2012 | Content area: Investment Adviser
Want more proof we're visual creatures? One of your compliance peers gave a PowerPoint file to SEC examiners just hours after they arrived on site. It...
10/15/2012 | Content area: Investment Adviser
We told you it was coming and last week OCIE released a letter to new registrants aimed at reminding them of their compliance obligations and foreshad...
10/09/2012 | Content area: Investment Adviser
This is a letter from the New York Regional Office of the SEC in October 2012. This went to newly registered advisers and mentioned the initiative con...
10/09/2012 | Content area: Investment Adviser
This is a copy of a letter from OCIE released in October 2012 that went to newly registered advisers. It includes a description of the agency's presen...
10/01/2012 | Content area: Investment Adviser
If you're a newly-registered adviser, look for a letter from the SEC "in the next couple of weeks" that would signal you're the subject of a so-called...


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