Examinations

This is an SEC document request letter from the Denver Regional Office. This is an NBE or never-been-examined letter.

This is an SEC document request letter sent to an adviser that had never been examined before. This letter, from 2014, came out of the ...

This is a copy of a never-been-examined SEC document request letter issued out of the Los Angeles Regional Office.

Andrew J. Bowden, director of compliance inspections and examinations at the U.S. Securities and Exchange Commission, gave such a startling speech about the industry in ...

During its first wave of examinations of sponsors, the SEC has found widespread examples of the mishandling of fees and expenses, possible abuse of valuation ...

There's a really easy tipoff to examiners that a firm's compliance operation may not be up to snuff. When the firm's asked what it considers ...

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.

IA Watch has obtained a copy of an SEC document request letter sent this month to an adviser that has never been examined (IA Watch, ...