Home Examinations: Document Request Letters
Examinations: Document Request Letters
Among other things, this exam letter asked for a list of employees by office locations, as well as an org chart revealing 'all entities that ...
This DOE exam letter asks about 'special arrangements,' and more
This DOE exam letter included a special focus on an adviser that sells insurance
This is another new DOE document request letter issued after the second Trump Administration took office in January 2025
Sample the first DOE exam letter of 2025 shared with RCW
This new SEC document request letter signals what are hot topics for examiners
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