Here is a recent SEC exam letter sent to an advisory firm
This comes courtesy of Lisa Marsden of Colter Strategic Services in Coral Springs, Fla.
Here's a policy that may give you ideas for improving your firm's OBA P&P
This is the sweep document request letter sent to advisers in the summer of 2024
Here is a sample DOE document request letter submitted by a compliance consultant
This short request letter went to a firm in Florida
Check out this SEC document request letter
A peer shares a copy of the firm's SEC document request exam letter
This P&P comes courtesy of Debra Konieczny, IACCP, CSCP, CCO at Capital Advisors in Tulsa, Okla.
Here's an example of a compliance P&P that outlines what must be reported to the firm under its code of ethics