Home Examinations: Document Request Letters
Examinations: Document Request Letters
This letter includes language directed at the adviser if it makes a privilege claim.
This document request letter asks many questions about possible cybersecurity events suffered by the adviser
This is a never-been examined request letter that went to an adviser.
This is a common exam letter.
Consider this another never-been-examined-before adviser undergoing an SEC exam.
This is an initial document request letter sent to an investment adviser located within the SEC's Philadelphia Regional Office.
A peer passes along the firm's initial document request letter from a recent SEC exam. This came out of the SEC's Philadelphia Regional Office.
A peer shares the firm's initial document request letter.
A peer shares OCIE's document request letter from a recent exam.