This is a sample format for an investment adviser firm’s CCO when formally replying to the deficiency or findings letter from a securities regulator during an examination.
An investment adviser firm should be aware that an examiner can make a referral to the securities regulator’s enforcement group, and consequently, the avoidance of such a referral by the examiner should be one of the primary goals of the investment adviser firm during an examination. You should consult with your compliance consultant and legal counsel before finalizing a response to a securities regulator regarding any deficiencies identified.
This sample form is an example of a format and does not include any substantive responses.
Included with Value, Bronze, Silver, Gold and Platinum Packages. Initially posted in December 2018.
Related Forms & Webinars
SEC Exam – Best Practices Checklist
SEC Exam – Log of Requested Docs & Info
SEC Exam – Investment Adviser’s Confirmation of New Deadline for Response
SEC Exam – Privilege Log
SEC Exam – Sample Letters Requesting Confidential Treatment under FOIA
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