Resource Library - Investment Adviser Association

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October 2022 Sample Examination Letter – Recordkeeping and Personal Devices

This is a sample SEC examination letter from October 2022 regarding recordkeeping and the use of personal devices.

October 19, 2022

Keywords: Books and Records, Compliance, Examinations

Categories & Topics: Books & Records, Compliance, Enforcement, Examinations

September 2022 Sample Examination Letter – Denver – Adviser, Private Funds

This is a sample examination letter from September 2022 from the SEC’s Denver Regional Office regarding investment advisers and private funds.

September 21, 2022

Keywords: Examinations, Private Funds

Categories & Topics: Compliance, Examinations

SEC EXAMINATIONS OF INVESTMENT ADVISERS

Outlines, Articles and Memoranda

February 15, 2019

Keywords: Examinations, Outlines Articles and Memoranda

Categories & Topics: Compliance, Examinations

Risk-Based Examination Initiatives Focused on Registered Investment Companies

Risk Alerts

November 08, 2018

Keywords: Examinations

Categories & Topics: Business Ops/HR, Compliance, Examinations, Registered Funds

Strategies for Managing an SEC Examination

Outlines, Articles and Memoranda

March 01, 2018

Keywords: Examinations, Outlines Articles and Memoranda

Categories & Topics: Compliance, Examinations

Considerations for Advisers Using Data Analytics in a Compliance Program

Outlines Articles and Memoranda

February 24, 2018

Keywords: Compliance Programs, Examinations, Outlines Articles and Memoranda

Categories & Topics: Compliance, Examinations

SAMPLE SEC INVESTMENT ADVISER EXAMINATION DOCUMENT REQUEST LIST

Files

June 05, 2017

Keywords: Examinations

Categories & Topics: Compliance, Examinations

OCIE Examination Information Request List

Files

June 05, 2017

Keywords: Examinations

Categories & Topics: Compliance, Examinations

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