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2025 Sample Examination Letter – Third-Party Access Providers
This is a sample SEC examination letter that includes several questions on the use of Third-Party Access Providers used to grant advisers with secure access to client information in held away accounts.
September 24, 2025
June 2025 Sample Examination Letter – ESG
This is a sample SEC examination letter that includes several questions on ESG investing. It also includes a template to respond to data requests.
June 18, 2025
2025 Sample Examination Letter on Transition to T+1 Settlement Cycle – Los Angeles
This is a sample SEC examination letter that includes questions on the transition to the T+1 settlement cycle. It is similar to other sample examination letters on the T+1 settlement cycle.
March 12, 2025
February 2025 Sample Examination Letter – DC
This is a sample SEC routine examination letter from DC.
February 14, 2025
2025 Sample Examination Letter – Boston
This is a sample SEC routine examination letter from Boston that also includes questions on cybersecurity, investments not held by a qualified custodian, and an acquisition.
January 01, 2025
2024 Sample Examination Letter on Transition to T+1 Settlement Cycle – Atlanta
This is a sample SEC examination letter that includes questions on the transition to the T+1 settlement cycle. It is very similar to the other sample examination letter on the T+1 settlement cycle.
October 01, 2024
2024 Sample Examination Request List – Private Equity Fund Advisers
This is a sample SEC examination request list for private equity fund advisers.
September 17, 2024
2024 Sample Examination Letter – Boston
This is a sample SEC examination letter from the Boston Regional Office.
August 16, 2024
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