This is a copy of a so-called “presence exam” letter that went to a private equity fund adviser in 2013.
This is likely an SEC document request letter sent as part of OCIE's “presence exam” initiative in 2012. This went to a private equity fund ...
This is an example of how to calculate the level of risk for a given item. This comes courtesy of Joan Berger, GC/CCO with Pzena ...
These are the 14 new Form PF FAQs released by the SEC in March 2013.
Click here to open a Word file, courtesy of Karen Huey of Professional Compliance Assistance in Woodstock, Ga., which is a summary of expectations for ...
A peer shares this tool, which is a questionnaire designed to be sent to subadvisers to discover the extent of investments in commodities and other ...
This is a draft guide produced by the SEC in 2012 to help firms that wish to file their Form PFs using an XML Format.
This is a 1997 no-action letter from the SEC to Lamp Technologies that covers use of a web site and advertising and solicitation of a ...
This is a 1998 no-action letter from the SEC to Lamp Technologies. This follows on a 1997 no-action letter, also to Lamp Technologies, that also ...
A peer shares the firm's policy for social media, email and other e-communications.