Examinations: Document Request Letters

Our recap of recent SEC exam activity includes three new document request letters obtained by RCW (IA Watch, Aug. 1, 2019). The first exam letter dives ...

Hand over engagement "letters with auditors contracted to perform surprise custody" exams

This short exam letter from the West includes a focus on fees.

This is a copy of an adviser's OCIE document request letter from a 2018 exam that focused on custody.

An adviser received this OCIE request letter in 2018. The exam focuses on ESG (environmental, social and governance) and SRI (socially responsible investing).

This late 2018 document request letter asks the adviser about selection of mutual fund shares classes for clients.

An adviser received this initial document request letter in 2019.

Similar to about 40% of advisers, the firm indicated on its Form ADV, Part 1 that it has custody. But when OCIE examiners showed up ...

This exam request letter went to an advisory firm in 2019.

This letter came from a 2019 OCIE exam of an IA.