2023 SEC Division of Examinations Risk Alert on Adviser Examinations
This Risk Alert includes a list of the documents and information that the SEC examinations staff typically requests in an examination.
September 08, 2023
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June 2023 Sample Enforcement Sweep Letter – Boston – Marketing Rule
This is a sample SEC enforcement sweep letter from June 2023 from the Boston Regional Office regarding the Marketing Rule.
June 23, 2023
June 2023 Sample Examination Letter – New York – Marketing
This is a sample SEC examination letter from June 2023 from the New York office regarding the Marketing Rule.
June 22, 2023
April 2023 Examination Presentation
This presentation from a meeting of the IAA Smaller Advisers Committee includes sample examination questions.
April 26, 2023
March 2023 Sample Examination Letter – DC – Adviser, Separately Managed Accounts, Private Funds (1)
This is a sample SEC examination letter from March 2023 from the DC Office regarding investment advisers, private funds, and separately managed accounts.
March 17, 2023
March 2023 Sample Examination Letter – DC – Adviser, Separately Managed Accounts, Private Funds (2)
This is a sample SEC examination letter from March 2023 from the DC Office regarding investment advisers, private funds, and separately managed accounts.
March 14, 2023
February 2023 Sample Examination Letter – DC – Cybersecurity
This is a sample SEC examination letter from February 2023 from the DC Office regarding cybersecurity.
February 15, 2023
January 2023 Sample Examination Letter – DC – Newly Registered Offshore Advise
This is a sample SEC examination letter from January 2023 from the DC Office regarding a newly registered adviser based outside the U.S.
January 12, 2023