A peer has contributed this example of a policy and procedure, as well as a segment of the firm's compliance manual, that deals with the ...
This Excel file provides a data sheet illustrating the elements per client that SEC examiners often request. It's been described as a best practice for exams ...
This report provides a summary of recent private fund industry statistics and trends, reflecting data collected through Form PF and Form ADV filings. Form PF ...
This letter went to an adviser within the SEC's Boston Regional Office in September 2015.
Gemmer Asset Management in California has given IA Watch permission to share with subscribers its cybersecurity plan. Perhaps you'll gain ideas to improve your approach ...
This comes from OCIE's 2015 risk alert announcing its second round of cybersecurity sweep exams.
OCIE staff will continue its focus on cybersecurity by conducting examinations of registered broker-dealers and investment advisers. The examinations will focus on key topics including ...
This is a copy of an SEC exam document request letter that went to an adviser in 2015. Note: The letter comes from an examiner ...
Anne Plimpton of McDermott Will & Emery gave us permission to share her memo on Exchange Act section 16 filings, including so-called Form 4 and ...
Among other things, the examinations revealed several significant deficiencies in the areas of suitability and supervision with respect to all of the examined firms’ sales ...