[16167]
June 6, 2003
TO: INTERNAL AUDIT ADVISORY COMMITTEE No. 3-03
RE: MODEL DOCUMENT REQUEST LIST FOR SEC EXAMINATIONS
The Securities and Exchange Commission’s Office of Compliance Inspections and
Examinations (OCIE) has implemented a new approach to inspections that focuses on
registrants’ control environment and compliance culture. Gene Gohlke, Associate Director of
OCIE, recently shared with the Institute the revised model document request list that OCIE has
developed in connection with this new approach. A copy of the request list, along with a
memorandum from Gene Gohlke describing it, is attached.
Barry E. Simmons
Associate Counsel
Attachment (in .pdf format)