Examinations: Document Request Letters

An adviser shares its recent exam request letter.

This OCIE exam letter features questions aimed at how the adviser handles its senior clients. It also showcases an example of a trade blotter that ...

A glance at a recent OCIE document request letter leaves no doubt of examiners’ interest in advisory fees. This isn’t a state secret given the ...

This is another example of a recent OCIE document request letter sent to an RIA.

This is a copy of an OCIE exam letter that went recently to an investment adviser.

This is a recent exam letter received by an investment adviser that features private funds.

A source passes on to us the document request letter that went to an adviser as part of OCIE's third cybersecurity sweep exam.

A peer shares the questions OCIE examiners asked in a document request letter to the advisory firm in an exam initiative directed at registered investment ...

The SEC orders the recipient to preserve records and to submit information to help the agency's investigation.

This letter goes beyond 12b-1 fees to look at broader "revenue sharing."