Home Examinations: Document Request Letters

Examinations: Document Request Letters

"Include any considerations and limitations on making recommendations to retail customers (including when recommendations must be documented) and the disclosures must be made to retail ...
Provide a "list of any individuals or groups (e.g., internal committees, working groups, or transition teams), if any, assigned responsibility to oversee or manage the ...
Examiners asked for the names of clients lost , including the reason, method that the termination was communicated, termination date, and the account asset value ...
This is the document request letter OCIE sent to an adviser. It focuses strictly on cybersecurity
This was a general exam of an investment advisory firm
This exam of an RIA began in 2020
This exam covered many topics, including private funds, asking "whether the fund pays carried interest and whether the fund is currently in-the-money or out-of-the-money for ...
The sample document request is intended to help empower compliance professionals in the industry with questions and tools they may use
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 ...

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