Examinations: Document Request Letters

This document request letter showcases an OCIE exam of an alternative mutual fund and focuses on how it deals with liquidity issues.

This SEC document request letter went to an Adviser within the SEC's San Francisco region in 2015. It includes questions about cybersecurity as well as ...

This is a copy of a 2015 OCIE sweep exam document request letter that focused on whistleblower programs and confidentiality agreements.

This is a copy of an SEC document request letter sent to an investment adviser within the Philadelphia Regional Office of the SEC.

Click here to open a Word file that a peer assembled based on the SEC's document request letter received by the firm in a 2014-2015 ...

This is a copy of an SEC document request letter received by an investment adviser within the Chicago regional office of the SEC. This letter, ...

This SEC document request letter comes from a peer. It was a 2015 exam of an investment adviser that is heavy into fixed-income securities.

This is part of a document request letter received by an adviser within the Chicago region.

This is a copy of a SEC document request letter received for an exam of an investment company adviser.

This is a portion of a request letter sent by the SEC to a hedge fund of funds manager. This is another example of the ...