SEC Examinations

Books-and-records crackdown nears smaller PE firms

'You cannot get deals if you’re not texting and your competitors are,' FirmScribe CEO says from PFCFO New York Forum.

Annual Staff Report Relating to the Use of Form PF Data

Commission staff used Form PF data together with other information to identify hedge fund advisers whose reported data ― such as returns, exposures, liquidity ― appear inconsistent with the funds’ investment strategies or other benchmarks. These reviews have, in certain cases, led to examinations and enforcement investigations

SEC exam request letter for an internet adviser

A source shares with RCW an SEC exam letter focused on internet services

DOE exam letter to a PE fund adviser

Check out exam questions from the SEC and addressed to a private equity fund adviser

About this page

The SEC currently examines about 15% of the Commission-registered investment adviser universe each year. Preparing for the possibility of your firm being selected for an exam is mission critical. This collection will help in that effort. You can find our continuously updated news on exams, including priorities, focus areas, peer-proven prep practices, and selection criteria. You can also access document request letters, risk alerts, sweep correspondence and more.

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