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The OCIE request raises the specter of a long stretch of working from home
OCIE has moved to conducting examinations off-site through correspondence, unless it is absolutely necessary to be on-site
The three allegedly altered and withheld documents after OCIE examiners commenced an exam in 2016
Has your CCO changed in the last year?
The "nebulous nature of such principles allows great latitude to investment advisers”
Be aware that examiners may question your logic for placing clients in certain share classes
The new examiners’ focus: Cybersecurity and standards of conduct for investment advisers and broker-dealers
OCIE examiners “expected us to have records of all of these reviews” for first party SLOAs
OCIE hopes "these observations" will spur you "to reflect on their own cybersecurity practices”
"Cyber threat actors are becoming more aggressive and sophisticated"