This Risk Alert highlights the importance of conducting penetration tests and vulnerability scans on critical systems and implementing system upgrades on a timely basis
A peer shares a copy of a recent OCIE exam document request letter.
Instructions for Form ADV-W.
A peer shares a copy of OCIE's exam letter.
A peer shares a form to demonstrate functioning in the best interest of a client
This letter went to an investment advisory firm in 2016.
A source passes along the firm's recent document request letter from an advisory firm SEC exam.
Click here to open a Word file contributed by SEC3 Compliance Consultants in Phoenixville, Pa. This is a list of 30 SEC exam preparation tips ...
A peer passes on the firm's recent exam letter.
A peer shares a 2017 exam letter that OCIE sent to an investment advisory firm.