Home Examinations: Document Request Letters

Examinations: Document Request Letters

The sample document request is intended to help empower compliance professionals in the industry with questions and tools they may use
Fees, investments, ads and trading dominate this exam
This exam letter asks many questions about private and registered funds
This letter came out of the SEC's San Francisco Regional Office
This exam touched on a wide-range of topics
OCIE examiners “expected us to have records of all of these reviews” for first party SLOAs
Another custody sweep exam letter from a 2020 OCIE exam of an advisory firm
Check out the degree of OCIE's interest in custody
This exam originated in the SEC's Boston Regional Office
"For the main office and any branch office, please provide any written interim or annual compliance reviews"
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