Examinations: Document Request Letters

IA Watch has now obtained more SEC document request letters stemming from OCIE's new never-been-examined initiative (IA Watch, March 24, 2014). Advisers are receiving relatively ...

This is a copy of an SEC document request letter sent to a never-been-examined firm in 2014.

This is an SEC document request letter from a so-called “never-been-examined firm.” This letter comes out of the Boston Regional Office of the SEC.

This is a copy of an SEC document request letter that went to an adviser for an exam.

This is a copy of an SEC document request letter that went to a private equity fund adviser in late 2013. This comes from an ...

This is a copy of an SEC document request letter that went to a private fund adviser in 2013. This is a so-called “presence exam” ...

This is a copy of an SEC document request letter that went to an adviser in late 2013. This is described by Janaya Moscony of ...

This letter, released by OCIE in 2014, was meant for firms that had never been examined. It details OCIE's initiative to visit some of these ...

Several recent enforcement actions took firms to task for deficient compliance programs (IA Watch, Oct. 28, 2013). Now it looks like OCIE's asking about compliance ...

This is an SEC document request letter for an examination of an investment adviser out of the Atlanta Regional Office.