Examinations: Document Request Letters

RCW has obtained a copy of OCIE's newly launched AML sweep exam

Examiners request extensive documents, including P&Ps and due diligence on cloud vendors

"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