A peer passes along a copy of the firm's initial document request letter from an SEC exam.
A peer shares a copy of an OCIE document request letter that focuses on exchange-traded funds.
This correspondence is another OCIE document request letter that looks at business development companies.
A peer shares a copy of OCIE's exam letter that included a look at private equity.
A peer at an investment advisory firm that has BDC funds shares a copy of a OCIE sweep exam letter sent to the firm.
A peer shares a copy of a sweep exam letter that looked at how the advisory firm handles and oversees electronic messaging.
A peer shares an example of a supplement to a subscription agreement to make ERISA reps and warranties because of the Labor Department's fiduciary duty ...
Here are more than 20 new FAQs released by the SEC's Division of Investment Management in June 2017.
An adviser shares a copy of its SEC document request letter from its recent exam.
The following FAQs provide additional information on the transition period from June 9, 2017 to January 1, 2018.1 This guidance, like the Fiduciary Rule and ...