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Since we first shared with you an SECdocument request letter from a new "presence exam" (IA Watch, Dec. 10, 2012), IA Watch has obtained two ...
What SEC examiners focus on can shift like the sands, depending on what's hot and the type of firm being queried. We've come up with ...
IA Watch has obtained a copy of an SEC document request letter received by an adviser after the agency formally announced its new "presence exam" ...
This is an SEC document request letter sent to an advisory firm. This letter hails from the Atlanta Regional Office. This may be a so-called ...
This SEC document request letter went to an adviser in the Atlanta Regional Office. This is from a so-called “presence exam.”
This is a copy of an SEC document request letter following the announcement of the new “presence” exams. This letter comes out of the Atlanta ...
Want more proof we're visual creatures? One of your compliance peers gave a PowerPoint file to SEC examiners just hours after they arrived on site. ...
We told you it was coming and last week OCIE released a letter to new registrants aimed at reminding them of their compliance obligations and ...
This is a letter from the New York Regional Office of the SEC in October 2012. This went to newly registered advisers and mentioned the ...
This is a copy of a letter from OCIE released in October 2012 that went to newly registered advisers. It includes a description of the ...