This SEC document request letter from 2014 includes language for the adviser to share a robust trade blotter.
This never-been-examined SEC document request letter asks for fewer records, indicating examiners may have made only a short visit.
This SEC document request letter shows examiners wanted to see proof that the adviser knew its custodians were sending notice of custody account statements, among ...
This letter, sent to a never-been-examined firm, features an unique table that examiners wanted the adviser to complete. It would provide the number of clients ...
This is a copy of an SEC document request letter sent to an advisory firm in 2014.
Click here to open a Word file that is an example of policies and procedures for the SEC's whistleblower rule. These come with permission of ...
Click here to open a PDF from the NSCP with directions for how to Bates stamp PDF documents. This is shared with permission of the ...
This Risk Alert summarizes deficiencies that OCIE staff observed in the controls that certain broker-dealers put in place to comply with obligations related to sales ...
This form, courtesy of Ben Anderson, principal with Anderson PLC in Minneapolis, can be used to have staff attest to agreeing to abide by a ...