This on-site due-diligence questionnaire for sub-advisers is courtesy of CCO Christina Sears of American Beacon Advisors in Fort Worth, Texas.
This questionnaire comes from CCO Christina Sears of American Beacon Advisors in Fort Worth, Texas. She created this as an annual tool to question the ...
Resumes from David Zilkha, whose name has been associated with Pequot Capital Management.
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.