Home Examinations: Document Request Letters
Examinations: Document Request Letters
A peer shares a 2017 exam letter that OCIE sent to an investment advisory firm.
A peer shares the firm's document request letter from a recent SEC exam. One topic of interest is whistleblower P&Ps.
A peer passes on a copy of the adviser's SEC document request letter from an exam that occurred in the south.
A source shares with us a copy of the so-called "Unicorn" sweep letter. This 2016 SEC sweep examined mutual fund advisers that held securities in ...
This letter comes from an exam launched by the SEC's San Francisco Regional Office.
A peer shares the firm's SEC document request letter that displayed an interest in pay-to-play issues.
This is a copy of a 2016 exam letter sent to an adviser from the SEC's Philadelphia Regional Office.
This is a copy of an SEC exam letter that went to an investment adviser in New York in 2016.
This is a second cybersecurity sweep letter that OCIE sent out in 2016. It reveals that this is likely the national letter being used in ...
This letter went to a peer in 2016 that went through OCIE's phrase 2 of its cybersecurity sweep.