Examinations: Document Request Letters

A peer shares an SEC exam letter dedicated to ESG

This is a copy of an SEC document request letter given to a private equity fund adviser in a recent exam

This is a copy of an SEC document request letter that went to a private fund adviser

This document request letter comes from a 2022 DOE exam

The first SEC document request letter of 2022 has come into our hands. It’s a short exam letter that our source tells us went to ...

This is a DOE document request letter directed at a robo adviser

Regulators seek trading documents, P&Ps, internal communications

A source shares a recent SEC exam letter that focuses on ESG and private funds

This new one asks for the adviser’s “internal definition of any terms that relate to” environmental, social and governance and socially responsible investing

A source shares a 2021 DOE exam letter