This is an OCIE exam document request letter that went to an SEC-registered investment advisory firm based in London, England. The exam began in July ...
This is a copy of an SEC sweep exam looking at fixed income portfolios. This was shared by a CCO peer.
This document request letter showcases an OCIE exam of an alternative mutual fund and focuses on how it deals with liquidity issues.
This SEC document request letter went to an Adviser within the SEC's San Francisco region in 2015. It includes questions about cybersecurity as well as ...
This is a copy of a 2015 OCIE sweep exam document request letter that focused on whistleblower programs and confidentiality agreements.
National exam staff intends to focus on certain registered investment advisers and broker-dealers that provide services or sell investment products to retail investors. Examination focus ...
This is a copy of an SEC document request letter sent to an investment adviser within the Philadelphia Regional Office of the SEC.
In April 2015, the Department of Justice put out these best practices for victims of cyber-attacks to consider following.
Click here to open a Word file that a peer assembled based on the SEC's document request letter received by the firm in a 2014-2015 ...
The national exam staff intends to focus on certain never-before-examined registered investment companies. Such examinations will focus on the following topics: compliance programs; annual contract ...