Examinations

This is an SEC document request letter from a so-called “never-been-examined firm.” This letter comes out of the Boston Regional Office of the SEC.

IA Watch has obtained a copy of an SEC document request letter sent this month to an adviser that has never been examined (IA Watch, ...

IA Watch has obtained four SEC document request letters from recent exams of investment advisers. Most are "presence" or limited scope exams that clearly reveal ...

This settlement involved a swindler who raised money on behalf of supposedly private equity funds.

Staff at advisory firms that have never been examined can have an unrealistic view of the process. Janaya Moscony recalls the client who received his ...

This is a copy of an SEC document request letter that went to a private equity fund adviser in late 2013. This comes from an ...

This is a copy of an SEC document request letter that went to a private fund adviser in 2013. This is a so-called “presence exam” ...

This private equity adviser and its CEO were charged by the SEC for alleged violations, including with how expenses were handled.

If you're your firm's CCO, know that your letter could be in the mail. Last week OCIE released a three-page letter bound for senior executives ...

This letter, released by OCIE in 2014, was meant for firms that had never been examined. It details OCIE's initiative to visit some of these ...