Check out exam questions from the SEC and addressed to a private equity fund adviser
It's a confirmed best practices to read through recent DOE exam request letters to help you prepare for your next SEC exam
Here's another SEC exam request letter shared with RCW by a source
Gain takeaways from this 2024 SEC exam letter
Eye an SEC exam document request letter from an ongoing exam
A peer shares this P&P
Provided as a courtesy from Coulter Strategic Services
A peer shares an example of a gifts and entertainment compliance policy and procedure
This sample log comes courtesy of Lisa Marsden, president of Coulter Strategic Services in Coral Springs, Fla.
These new FAQs were released in December 2023