Examinations

Although the SEC’s proposed target date fund rule never became final, the lack of regulation hasn’t deterred OCIE. IA Watch has obtained a document request ...

While OCIE has had its ReTIRE initiative in place for three years, a new document request letter reveals a twist (IA Watch, June 25, 2015) ...

Everybody seems to be talking about cryptocurrencies. It’s one reason OCIE has made it a new item on its 2018 exam priorities’ list (IA Watch, ...

The SEC’s FY 2019 budget request tackles a three years running flat budget and two-year hiring freeze in a bid to stay on top of ...

A peer shares OCIE's target date sweep letter that the firm received.

A peer shares the OCIE document request letter received by the firm. This one concentrates on wrap fee programs. It also featured an example of ...

This exam, out of the SEC's Boston Regional Office, seeks extensive information on the adviser's private funds.

This letter includes language directed at the adviser if it makes a privilege claim.

This document request letter asks many questions about possible cybersecurity events suffered by the adviser

This is a never-been examined request letter that went to an adviser.