Home Examinations: Document Request Letters
Examinations: Document Request Letters
Here's an extensive DOE exam letter shared with RCW by a source. This was directed at a private equity fund adviser in 2024
Fee billing was an interest in this ongoing SEC exam of an adviser
A source shares with RCW an adviser's recent SEC document request letter from an exam
Here is a recent SEC exam letter sent to an advisory firm
This is the sweep document request letter sent to advisers in the summer of 2024
Here is a sample DOE document request letter submitted by a compliance consultant
This short request letter went to a firm in Florida
Check out this SEC document request letter
A peer shares a copy of the firm's SEC document request exam letter
A source shares with RCW an SEC exam letter focused on internet services