Examinations: Document Request Letters

RCW shares questions from a recent DOE advisory firm exam that focus on the firm's organizational structure and its key personnel

A peer shares a DOE request that focused on cybersecurity

This is an example of a DOE document request letter issued to a newly registered investment advisory firm

A peer shares questions about ESG taken from a recent DOE exam

Questions include RFPs, DDQs

Sources assert this is an SEC enforcement letter that went to a broker-dealer in the agency's investigation of the business use of e-commmunications channels

This is a copy of an SEC document request letter sent to a dual registrant

This is the trade blotter format that SEC examiners would like to see firms produce on exams

This SEC exam letter from 2023 probes fees and advertising

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 ...