Testimony from Peggy Thomson in divorce case involving David Zilhka, who used to work at Pequot Capital Management.
An SEC document request letter from 2009 issued by the Denver regional office.
Click here to open an Excel file that lists a schedule of forensic tests for the year. This annual schedule comes courtesy of Linda Shirkey, ...
The model form from the federal government that meets the safe harbor for the annual privacy form for clients under the Gramm-Leach-Bliley Act. This was ...
A copy of an SEC document request letter from a 2009 exam out of the agency's Denver regional office.
This is an example of an annual questionnaire and certification, courtesy of Steven Felsenthal, general counsel and CCO at The Millburn Corporation in Greenwich, Conn. ...
Examples of Form ADV Part II disclosures regarding soft dollars, courtesy of Fifth Third Asset Management in Cincinnati.
The lawsuit filed in New York state against Bernie Madoff, Tremont Partners and others claiming fraud and breach of fiduciary duty. The suit contains allegations ...
An example of a web-service agreement provided by one of your peers. Some suggest you have clients sign agreements like this and maintain them as ...
A copy of an SEC document request letter from the Midwest, stemming from a 2009 exam.