IA Compliance Toolbox

The SEC's model template letter it sends to clients during exams in an effort to verify assets.
SIPC bankruptcy court filing listing Madoff credit card records from 2008.
Slattery report on BLMIS funds, filed in SIPC bankruptcy case in May 2009.
Copy of agenda and CCOutreach materials from SEC for 2009 meetings.
A 2009 SEC document request list from an exam of a dually registered investment advisory and broker-dealer.
Letter from PriceWaterHouse Cooper to Fairfield Greenwich Advisors about Madoff audit.
The response to Madoff-related charges by Massachusetts authorities by the Fairfield Greenwich Group.
Copies of internal SEC documents acquired via a Freedom of Information Act request in 2009.
Court documents that lay out the assets of Bernie Madoff.
Complaint filed in Massachusetts authorities against Fairfield Greenwich related to the Bernard L. Madoff Investment Securities case.
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