Home Examinations: Document Request Letters

Examinations: Document Request Letters

How firms manage their obligations related to information collected from acquired customers is also being sought
A source shares a recent SEC exam letter that focuses on ESG and private funds
This new one asks for the adviser’s “internal definition of any terms that relate to” environmental, social and governance and socially responsible investing
A source shares a 2021 DOE exam letter
A source shares a 2021 DOE exam letter
A source shares a 2021 DOE exam letter
A source shares a 2021 DOE exam letter
A source shares a 2021 DOE exam letter
A source shares a 2021 DOE exam letter
A source shares a 2021 DOE exam letter
rcw
rcw

Copyright PEI Media

Not for publication, email or dissemination