This letter came from a 2019 OCIE exam of an IA.
An adviser shares its recent exam request letter.
This is an SEC document released in April 2019.
This OCIE exam letter features questions aimed at how the adviser handles its senior clients. It also showcases an example of a trade blotter that ...
This is another example of a recent OCIE document request letter sent to an RIA.
This is a copy of an OCIE exam letter that went recently to an investment adviser.
This is a recent exam letter received by an investment adviser that features private funds.
A source passes on to us the document request letter that went to an adviser as part of OCIE's third cybersecurity sweep exam.
A peer shares the advisory firm's guidelines for fixed income management. You could view this as an investment policy statement.
The International Securities Services Association grants IA Watch approval to share with you its cybersecurity glossary. It urges you to visit its web pages:
https://www.issanet.org/e/pdf/2018-10_ISSA_Cyber_Risk_in_Securities_Services.pdf ...