Home Examinations: Document Request Letters
Examinations: Document Request Letters
This exam, out of the SEC's Boston Regional Office, seeks extensive information on the adviser's private funds.
This letter includes language directed at the adviser if it makes a privilege claim.
This document request letter asks many questions about possible cybersecurity events suffered by the adviser
This is a never-been examined request letter that went to an adviser.
This is a common exam letter.
Consider this another never-been-examined-before adviser undergoing an SEC exam.
This is an initial document request letter sent to an investment adviser located within the SEC's Philadelphia Regional Office.
A peer passes along the firm's initial document request letter from a recent SEC exam. This came out of the SEC's Philadelphia Regional Office.
A peer shares the firm's initial document request letter.
A peer shares OCIE's document request letter from a recent exam.