SECCC SEC Exam Documents October 9, 2012 SEC Presence Exam Letter As mentioned in our September 27th Communique, the SEC has started to send a letter to all newly reg... Read More
SECCC SEC Exam Documents July 18, 2012 SEC Exams Tips For your reading pleasure, we present a list of tips for surviving a routine SEC Examination. This l... Read More
SECCC SEC Exam Documents July 18, 2012 The Importance of Risk Assessment and Forensic Testing for Investment Advisers The National Examination Program (“NEP”) of the Office of Compliance Inspections and Examination... Read More
SECCC SEC Exam Documents July 18, 2012 OCIE Exam Process Overview Office of Compliance Inspections and Examinations Process Overview. {Jscribd document_id:=100439931 ... Read More
SECCC SEC Exam Documents July 18, 2012 Two SEC Exam Request Lists – 2012 An example of recent SEC Long form and SEC Short form SEC Examination Information Request Lists. {Js... Read More
SECCC SEC Exam Documents June 9, 2010 SEC Chicago Letter – A precursor for private funds The SEC seems to be initiating a trend and “pre-screening” managers. An April... Read More