Investment Advisers: Assessing Risks, Scoping Examinations, and Requesting Documents

Today, the Division of Examinations published a Risk Alert providing additional information regarding the Division’s risk-based approach for both selecting registered investment advisers to examine and in determining the scope of risk areas to examine.

The Risk Alert also includes an attachment with the staff’s typical initial request for documents and information, as well as additional requests for information and documents from the adviser the staff may request as the examination progresses.

View the Risk Alert: Investment Advisers: Assessing Risks, Scoping Examinations, and Requesting Documents