Among other things, EXAMS may review whether and how Registrants have evaluated the potential impact of the final rules on their: (i) business activities; (ii) ...
A source passes on several examples of death and arbitration clauses
Check out this example of an IA agreement
Gain ideas from this adviser's code of ethics
Here's an example of a personal trading policy and procedure
RCW shares an example of an IA P&P
This P&P comes courtesy of Lisa Marsden, president of Coulter Strategic Services in Coral Springs, Fla.
A source shares with RCW an SEC exam letter focused on internet services
Check out exam questions from the SEC and addressed to a private equity fund adviser
It's a confirmed best practices to read through recent DOE exam request letters to help you prepare for your next SEC exam