This is a copy of the sweep letter OCIE has used as part of its effort to examine advisers that manage so-called alternative mutual funds. ...
This is an introductory letter sent from OCIE in August 2014 describing topics examiners may pursue when looking at entities registered as municipal advisors.
This is a copy of an SEC document request letter that went to an adviser in 2014 with a special emphasis on wrap fee programs.
This is an SEC document request letter from the Denver Regional Office. This is an NBE or never-been-examined letter.
This is an SEC document request letter sent to an adviser that had never been examined before. This letter, from 2014, came out of the ...
Click here to open a Word file that comes from a peer who contributes the firm's charter for its compliance committee.
This is a copy of a never-been-examined SEC document request letter issued out of the Los Angeles Regional Office.
Here are some cybersecurity tips courtesy of the Department of Homeland Security.
This is an example of a form used to initiate a compliance review of an advertisement. This comes courtesy of Stephen Shenkenberg, general counsel/CCO at ...
This is an SEC document request letter from an exam out of the San Francisco regional office begun in 2013.