Examinations: Document Request Letters

This letter went to an adviser within the SEC's Boston Regional Office in September 2015.

This comes from OCIE's 2015 risk alert announcing its second round of cybersecurity sweep exams.

OCIE staff will continue its focus on cybersecurity by conducting examinations of registered broker-dealers and investment advisers. The examinations will focus on key topics including ...

You’ve known since Dodd-Frank passed and ordered the SEC’s Division of Investment Management to once again employ examiners that firms would have to worry about ...

This is a copy of an SEC exam document request letter that went to an adviser in 2015. Note: The letter comes from an examiner ...

You often hear comparisons between exams conducted by OCIE and the National Futures Association and the same description keeps coming up: The NFA is much ...

A new sweep directed at broker-dealers by FINRA continues the SRO’s assessment of how firms identify, mitigate and manage conflicts. The sweep focuses especially on ...

IA Watch has obtained a new SEC document request letter received by an SEC-registered advisory firm based in London, England.   The document resembles other ...

This is an OCIE exam document request letter that went to an SEC-registered investment advisory firm based in London, England. The exam began in July ...

This is a copy of an SEC sweep exam looking at fixed income portfolios. This was shared by a CCO peer.