IA Compliance Toolbox

March 6, 2009 court document that suggests Madoff will cop a plea in criminal case.
Copy of SEC sweep exam letter related to rumors.
A sanitized copy of an SEC exam document request letter from February 2009.
A tool to use for forensic testing. This is an ideal cover sheet for each test, courtesy of David Hunt of Dallas.
A copy of an SEC Office of Compliance Inspections and Examinations' sweep letter looking into firms' controls over custody.
The SEC's civil complaint against Bernie Madoff.
Internal documents from past SEC investigation of Bernard L. Madoff Investment Securities.
A time line of Harry Markopolos' investigation of Bernie Madoff.
A list of vendors of Bernie Madoff's, according to court documents.
A copy of the Form ADV for Bernard L. Madoff Investment Securities as taken from the SEC web site.
rcw
rcw

Copyright PEI Media

Not for publication, email or dissemination