Examinations: Document Request Letters

A peer shares the firm's SEC document request letter. The firm had never been examined before. A topic pursued by examiners was how the firm ...

An SEC sweep exam looking at pay-to-play issues most likely explains this document request letter. This came out of the SEC's Chicago regional office.

The staff of the U.S. Securities and Exchange Commission’s Risk and Examinations Office of the Division of Investment Management is reviewing how firms that are ...

This letter showcases the topics of interest from an SEC exam that's part of its ReTIRE initiative. This letter comes courtesy of Jason Roberts, CEO ...

This December 2015 letter comes from a "phone" exam. It contains a long list of items, including for a list of mutual funds with share ...

You won’t need to be part of OCIE’s second cybersecurity sweep exam to be asked about your firm’s approach to IT concerns (IA Watch, Sept. ...

A peer shares a copy of the RIA's SEC document request letter from a 2015 exam out of the SEC's New York Regional Office.

This one stemmed from an OCIE exam launched in 2015.

This is an example of an SEC exam document request letter sent to an investment advisory firm. It asks for many items, including disclosures about ...

This letter comes from an SEC exam launched in 2015 from the SEC's Los Angeles Regional Office.