Home Examinations: Document Request Letters

Examinations: Document Request Letters

A peer shares a DOE exam's document request letter
Check out the format DOE examiners prefer for your trade blotter
A peer shares a copy of an SEC DOE exam letter that drilled down on cybersecurity
A source shares a compilation of cybersecurity questions asked of advisers by SEC examiners
A peer shares a copy of the FINRA exam letter that focused on Reg BI compliance
This is a DOE exam letter recently received by an advisory firm
This new DOE exam of an advisers asks about opportunity zones, Form CRS, sweep accounts, LIBOR and more
You could use this as a template to help track your document production during your next OCIE exam
Private funds were a special interest of OCIE in this document request letter obtained by RCW
This is an OCIE exam letter sent to an adviser to a mutual fund

Copyright PEI Media

Not for publication, email or dissemination