The SEC's frequently asked questions around its custody rule.
Click here to see a Word document prepared by Steve Stone, a partner at Morgan Lewis in Washington, on soft dollars guidance for RIAs.
Click here to read a copy of a peer's gifts and entertainment policy.
Click here to see an Excel spreadsheet from one of your peers that's called a Monthly Portfolio Compliance Report, and allows you to track trades ...
Here are sample questions you can ask during your annual review, courtesy of Karen Huey of Professional Compliance Assistance in Canton, Ga.
A copy of the amendment to Senate financial regulatory reform designed to replace a provision that would expand a fiduciary duty standard. This was proposed ...
An example of elements to fold into subadviser agreements from a 2010 Board Oversight of Subadvisers report by the Independent Directors Council.
A sample compliance questionnaire for a subadviser from a 2010 Board Oversight of Subadvisers report by the Independent Directors Council.
A sample compliance certification for a subadviser relationship from a 2010 Board Oversight of Subadvisers report by the Independent Directors Council.
Copies of documents an RIA, Results One, and a custodian, Charles Schwab, sent to investors who were harmed by an alleged fraud by a principal ...