Examinations: Document Request Letters

A source shares an SEC exam letter sent to an advisory firm

These items are taken from a recent DOE exam request letter that focused on cybersecurity

This 2023 DOE exam letter includes a focus on advertising, and other topics

A peer passes on an adviser's recent DOE exam document request letter

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