Examinations: Document Request Letters

It doesn’t appear SEC examiners interest in advisers that pursue ESG strategies is dulling. RCW has obtained two new Division of Examinations document request letters ...

A source shares with RCW a new DOE document request letter for an exam that focused on ESG

These are questions DOE examiners are asking related to use of e-devices in the workplace

A source shares a 2021 DOE exam letter

A source shares a 2021 DOE exam letter

A source shares a 2021 DOE exam letter

This DOE exam focused on the use of communications devices by an adviser

A source shares a DOE document request letter issued by the New York Regional Office

A peer shares a DOE exam letter that focused on ESG

A source shares a DOE document request letter issued by the Philadelphia regional office