An excel file that is a fair valuation request form, courtesy of David Hunt, that lays out a good procedure to substantiate valuation of a ...
A copy, somewhat difficult to read, of an SEC document request letter from a Northeast firm that was examined in 2009. The firm advises mutual ...
This is a checklist, in an Excel format, to help prepare for an SEC exam, courtesy of David Lui, a CCO in Minneapolis.
Examples of various disclaimers and disclosures submitted by your peers. Share yours. Contact Carl Ayers at 301–287–2435 or cayers@iaweek.com.
A risk matrix tool courtesy of Krista Zipfel, CEO & President of Advisor Solutions Group in Newport Beach, Calif.
A copy of the January 2009 FINRA sweep exam letter looking at broker-dealer relationships with investment advisers after the Bernie Madoff debacle.
A guide to conducting an annual compliance review from William Edick, a partner at Pickard & Djinis in Washington.
An example of a compliance calendar to help you build efficiencies into your program, courtesy of Krista Zipfel, CEO & President of the Advisor Solutions ...
Language from the SEC that complies with the Fair Credit Reporting Act for opt-out forms to share with consumers for marketing purposes. This comes from ...
An SEC document request letter out of the Chicago regional office of the SEC for an exam conducted in the summer of 2009.