Home Examinations: Document Request Letters

Examinations: Document Request Letters

Fees, investments, ads and trading dominate this exam
This exam letter asks many questions about private and registered funds
This letter came out of the SEC's San Francisco Regional Office
This exam touched on a wide-range of topics
OCIE examiners “expected us to have records of all of these reviews” for first party SLOAs
Another custody sweep exam letter from a 2020 OCIE exam of an advisory firm
Check out the degree of OCIE's interest in custody
This exam originated in the SEC's Boston Regional Office
"For the main office and any branch office, please provide any written interim or annual compliance reviews"
Examiners asked for the adviser's compliance "framework (including the use of all third party service providers who assist with compliance (i.e., law firms and consultants))
"you may securely send the requested data via email"
Our recap of recent SEC exam activity includes three new document request letters obtained by RCW (IA Watch, Aug. 1, 2019). The first exam letter dives ...
This short exam letter from the West includes a focus on fees.
This is a copy of an adviser's OCIE document request letter from a 2018 exam that focused on custody.
An adviser received this OCIE request letter in 2018. The exam focuses on ESG (environmental, social and governance) and SRI (socially responsible investing).
This late 2018 document request letter asks the adviser about selection of mutual fund shares classes for clients.
An adviser received this initial document request letter in 2019.
OCIE Exam Priorities - Regulatory Compliance Watch
Similar to about 40% of advisers, the firm indicated on its Form ADV, Part 1 that it has custody. But when OCIE examiners showed up ...
This exam request letter went to an advisory firm in 2019.
This letter came from a 2019 OCIE exam of an IA.
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