Examinations: Document Request Letters Archives | Page 28 of 28 | Regulatory Compliance Watch

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OCIE Custody Sweep

Investment Advisers

-

February 18 2009

A copy of an SEC Office of Compliance Inspections and Examinations' sweep letter looking into firms' controls over custody.

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June 2008 Exam Letter

Investment Advisers

-

November 17 2008

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SEC Exams (NYRO letter)

Investment Advisers

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March 2 2008

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