Municipal Advisors: Staff Assessment of Risks, Scoping of Examinations, and Requesting of Documents

The Division of Examinations published a Risk Alert to help municipal advisors better understand the examination process and prepare for an examination. The Risk Alert provides information regarding what Division staff may consider when selecting firms to examine and areas of focus for the examination. It also provides the types of information, including documents, staff may initially request during an examination of a municipal advisor and includes a Sample Initial Information Request List.

View the Risk Alert: Municipal Advisor: Staff Assessment of Risks, Scoping of Examinations, and Requesting of Documents