Here is a sample DOE document request letter submitted by a compliance consultant
Word on the street reveals SEC examiners are slowly returning to on-site exams, although many remain virtual. Their interest in adviser marketing has only heated ...
This short request letter went to a firm in Florida
Check out this SEC document request letter
A peer shares a copy of the firm's SEC document request exam letter
You don’t need to be a psychic to predict enforcement troubles would follow
This means that annual reviews must be in writing
Less than 2% of survey respondents permit the use of personal e-mail for business communications
What SEC examiners are focused on, why you shouldn't ignore examiners, off-channel communications forms top compliance concern and much more
Nearly two-thirds of survey respondents flagged off-channel communications as their top compliance concern