Examinations: Document Request Letters

This SEC exam letter from 2023 probes fees and advertising

It doesn’t appear SEC examiners interest in advisers that pursue ESG strategies is dulling. RCW has obtained two new Division of Examinations document request letters ...

A source shares with RCW a new DOE document request letter for an exam that focused on ESG

These are questions DOE examiners are asking related to use of e-devices in the workplace

A source shares a 2021 DOE exam letter

A source shares a 2021 DOE exam letter

A source shares a 2021 DOE exam letter

This DOE exam focused on the use of communications devices by an adviser

A source shares a DOE document request letter issued by the New York Regional Office

A peer shares a DOE exam letter that focused on ESG