This is a copy of an SEC document request letter sent to an advisory firm in 2014.
This is an SEC document request letter from an exam out of the San Francisco regional office begun in 2013.
Click here to open a Word document. This is an example of a conflicts questionnaire. It comes from a peer. The firm would have staff ...
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 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 ...
This is an SEC document request letter for an examination of an investment adviser out of the Atlanta Regional Office.
This SEC document request letter, which went to an advisory firm, is interesting because it appears to mix the agency's approach to a so-called “presence ...
Click here to download an Excel file that gives you a template for how to display compliance tests and their results for use in your ...
These are advertising and media appearance guidelines from a peer at a private equity fund advisory firm.