This comes courtesy of Theresa Manderski, first VP, Compliance & AML Officer at Davenport & Company in Richmond, Va.
General Counsel/CCO Bob Chung of Arete Wealth Advisors in Schaumburg, Ill., shares how he responded to a Wells Notice.
The staff of the U.S. Securities and Exchange Commission’s Risk and Examinations Office of the Division of Investment Management is reviewing how firms that are ...
This letter showcases the topics of interest from an SEC exam that's part of its ReTIRE initiative. This letter comes courtesy of Jason Roberts, CEO ...
This example may give you ideas for improving your firm's custody policy and procedure.
This comes courtesy of Ben Anderson, principal with Anderson PLC in Minneapolis.
Below is a summary of several of the annual compliance obligations imposed on ...
This is a sample guide to comply with the Department of Labor's 408(b)-2 rule. This is simply a better designed version of a sample guide ...
A peer shares this document, which is used to have clients acknowledge how the firm is paid and other compensation information.
This December 2015 letter comes from a "phone" exam. It contains a long list of items, including for a list of mutual funds with share ...
A peer shares a form that lays out how the firm compares brokers.