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Examinations: Document Request Letters

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This SEC exam letter from 2023 probes fees and advertising
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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 ...
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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

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