Examinations: Document Request Letters

This exam letter asks many questions about private and registered funds

This letter came out of the SEC's San Francisco Regional Office

This exam touched on a wide-range of topics

OCIE examiners “expected us to have records of all of these reviews” for first party SLOAs

Another custody sweep exam letter from a 2020 OCIE exam of an advisory firm

Check out the degree of OCIE's interest in custody

This exam originated in the SEC's Boston Regional Office

"For the main office and any branch office, please provide any written interim or annual compliance reviews"

Examiners asked for the adviser's compliance "framework (including the use of all third party service providers who assist with compliance (i.e., law firms and consultants))

"you may securely send the requested data via email"