This SEC document request letter comes from a peer. It was a 2015 exam of an investment adviser that is heavy into fixed-income securities.
This is part of a document request letter received by an adviser within the Chicago region.
This is a copy of a SEC document request letter received for an exam of an investment company adviser.
This is a portion of a request letter sent by the SEC to a hedge fund of funds manager. This is another example of the ...
Click here to open a Word document shared by a peer. This is an example of a consulting agreement between the adviser and a cybersecurity ...
Here are 10 steps, running from footprint to clean up, from a cybersecurity consulting firm used by an IA firm. These steps progress in intensity. ...
This Risk Alert provides summary observations from OCIE’s examinations of registered broker-dealers and investment advisers, conducted under the Cybersecurity Examination Initiative, announced April 15, 2014
A peer contributes this PPT file, which is a presentation designed to help staff prevent e-mail wire fraud.
These are instructions for how to conduct a transaction analysis for forensic testing around trading. This comes courtesy of Krista Zipfel, CEO/president of Advisor Solutions ...
This is an SEC document request letter sent to an advisory firm in 2014 from the SEC's Atlanta Regional Office.