Document Request List for Never-Before-Examined Advisers

aca compliance

In January, the Securities and Exchange Commission announced in its annual exam priorities for 2014 that it wanted to emphasize exams on never-before examined firms that had been registered before 2012. Then in February, the SEC officially announced its never-before-examined initiative. It looks a lot like the presence exams.

ACA Compliance got its hands on an initial document request list used by OCIE in conducting a never-before-examined exam.

Unlike other exam letters, this one explicitly states that it is part of OCIE’s never-before-examined initiative. It sounds like an on-site visit is not part of the initial protocol. But this may vary from region to region.

I’ve added this example to Compliance Building‘s collection of 13 other SEC Exam Document Request Examples. If you have an example and are willing to share it, you can send it to compliancebuilding@gmail.com. I will always delete any information about the firm and I will only publish any additional information about the letter that you consent to.

Disclosure: I’ve used ACA Compliance as a provider.

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