Examinations: Document Request Letters

A peer at an investment advisory firm that has BDC funds shares a copy of a OCIE sweep exam letter sent to the firm.

A peer shares a copy of a sweep exam letter that looked at how the advisory firm handles and oversees electronic messaging.

Roll the dice and hope for no snake eyes. That’s what it can seem like when facing an OCIE exam these days. Your peers report ...

An adviser shares a copy of its SEC document request letter from its recent exam.

A peer shares a copy of a recent OCIE exam document request letter.

A peer shares a copy of OCIE's exam letter.

You’ve heard before the best practice of showing examiners a PowerPoint presentation about your firm on the first day of their visit (IA Watch, Sept. ...

This letter went to an investment advisory firm in 2016.

A source passes along the firm's recent document request letter from an advisory firm SEC exam.

A peer passes on the firm's recent exam letter.