Carl Ayers
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 ...
This exam, out of the SEC's Boston Regional Office, seeks extensive information on the adviser's private funds.
This letter includes language directed at the adviser if it makes a privilege claim.
This document request letter asks many questions about possible cybersecurity events suffered by the adviser
This is a never-been examined request letter that went to an adviser.
This is a common exam letter.
Consider this another never-been-examined-before adviser undergoing an SEC exam.
While a settlement arising from this self-reporting initiative may allow an adviser to skirt paying penalties, the firm could expect to disgorge what it shouldn’t ...
This is the 3-page questionnaire released in February 2018 by the SEC for its new Share Class Selection Disclosure Initiative. This must be filed with ...
Depending upon what side of the case you sit on, Ken Sandhu is either obsessed with what he sees as an injustice or is a ...