Click here to open a Word document that comes from an SEC document request of an adviser during an exam. This document lays out the ...
This is an SEC document request letter sent to an advisory firm from the Los Angeles Regional Office. Note the new trade blotter layout in ...
OCIE will be conducting examinations of more than 50 registered broker-dealers and registered investment advisers, focusing on areas related to cybersecurity. In order to empower ...
This is a copy of an SEC document request letter sent to a never-been-examined firm in 2014.
This is an SEC document request letter from a so-called “never-been-examined firm.” This letter comes out of the Boston Regional Office of the SEC.
This is a copy of an SEC document request letter that went to an adviser for an exam.
This is a copy of an SEC document request letter that went to a private equity fund adviser in late 2013. This comes from an ...
This is a copy of an SEC document request letter that went to a private fund adviser in 2013. This is a so-called “presence exam” ...
This is a copy of an SEC document request letter that went to an adviser in late 2013. This is described by Janaya Moscony of ...
This letter, released by OCIE in 2014, was meant for firms that had never been examined. It details OCIE's initiative to visit some of these ...