SEC Exam Document Request Examples

This is my collection of document requests received by investment advisers, and in particular private fund managers.


January 2015
Real Estate Fund
SEC Initial Request List – Real Estate 22


January 2015
Chicago Office
Fixed income adviser
SEC document request 21


January 2015
Atlanta Office
SEC document request (20)


December 2014
Private Fund Manager
SEC doc request 18


November 2014
SEC doc request 19


Exam
2014 September
Chicago
Chicago Real Estate Fund Request List (17)


Presence Exam
2014 June
Boston
Real Estate Fund Document Request List (15)


Presence Exam
2014 April Real estate investment adviser
SEC Presence Exam (16)


Cyberscurity Risks and Governance
April 15, 2014
Cybersecurity Sweep Letter


Never-Before Examined
2014 March
From ACA Compliance
Never-Before Examined Document Request List (14)


Exam of Private Fund Manager
Not a presence exam
2014 March
Boston Office
SEC Document Request (10)


Presence exam for a real estate private equity fund
2014 January
Boston Office
Adds marketing materials and Fees
SEC Document Request (1)


This is an SEC document request letter is for a limited scope exam
New York Regional Office.
Limited Scope Exam (11) IA Watch subscription required


Exam Request letter
2013 December
Atlanta Office
SEC Document Request (4)


This is an SEC document request letter that went to a private equity fund adviser in late 2013. This comes from an OCIE “presence exam.” This document is hosted by IA Watch courtesy of SEC3 Compliance Consultants in Phoenixville, Pa.
Private Equity Presence Exam (13) IA Watch subscription required


This is a copy of an SEC document request letter that went to a private fund adviser in 2013. This is a so-called “presence exam” letter. This document is hosted by IA Watch
Private Fund Presence Exam (12) IA Watch subscription required


Exam Request Letter
2013 November – New York Office
Limited Scope Exam Request Off Site Letter
SEC Document request (9)


Exam Request Letter
2013 July
Full Scope
SEC Document request (8)


Presence exam for private equity fund manager
2013 April
SEC Document Request (5)


Document request
2013 February – Philadelphia Office
SEC Document Request (6)


Hurricane Sandy Sweep Letter
2012 December – Boston Office
SEC Document Request (7)  –  Hurricane Sandy Sweep


Presence Exam for private fund manager
2012 October – Atlanta Office
Focus on fees and expenses
SEC Document Request (2)


Presence Exam for private fund manager
2012 October
SEC Document Request (3)


Presence Exam for newly registered private fund manager
2012 August – Boston

SEC Document Request (11)


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.

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