This Risk Alert summarizes OCIE staff observations on the due diligence practices of certain investment advisers that manage and/or recommend alternative investments to their clients
Click here to download a Word file contributed by a peer. This form helps the RIA ask entities for “covered persons” under the SEC's bad ...
2014 likely will bring new regulations affecting IAs, e.g., money market fund reforms from the SEC (IA Watch, Oct. 28, 2013). However, there’s no guarantee ...
This is an SEC document request letter for an examination of an investment adviser out of the Atlanta Regional Office.
This is a copy of an SEC document request letter from a 2012 limited scope exam handled out of the agency's Atlanta Regional Office.
This SEC document request letter, which went to an advisory firm, is interesting because it appears to mix the agency's approach to a so-called “presence ...
This is a portion of an SEC document request letter that details items around trading. It also includes the agency's preferred method for firms to ...
Click here to open a Word file that comes from a peer and is called a risk identification questionnaire. Use this tool to help discover ...
Click here to download an Excel file that gives you a template for how to display compliance tests and their results for use in your ...
Compliance issues related to Rule 105 of Regulation M, which governs short selling prior to pricing of certain offerings. Key Takeaways: Investment advisers, investment companies, ...