Examinations: Document Request Letters

This is an SEC limited scope exam letter sent from the Los Angeles regional office in 2011. This is modeled after the so-called “Chicago” letter.

IA Watch has obtained four new exam document request letters, one directed at an adviser to a private fund, a second sent to an RIA ...

This is a document request letter the SEC sent to an RIA in the Atlanta regional office.

This is an SEC document request letter sent to an RIA that also manages private funds.

This is a 2011 SEC document request letter sent to an adviser to an Investment Company Act fund.

This is an SEC document request letter sent to an RIA firm within the Chicago regional office.

This is a copy of an SEC Enforcement Division sweep letter issued in 2011 to entities for an investigation of their relationships with sovereign wealth ...

This is an SEC document request letter from an exam of an RIA. This includes questions for managers of wrap fee programs.

This is a sanitized copy of an actual SEC document request letter sent to an RIA in 2010.

This is a portion of what has been described to IA Watch as an SEC sweep exam letter to some RIAs in 2010 related to ...