This is an OCIE risk alert published in August 2013 that includes best practices for RIA business continuity plans (BCP) taken from lessons learned following ...
Click here to open a Word file that is an example of a due diligence questionnaire. This comes courtesy of Fred Shane, chief risk officer ...
This is a list of best practices for firms to consider as part of their business continuity planning (BCP). The SEC, CFTC and FINRA jointly ...
Click here to open a Word file that is a template to track your questions and notes for an on-site due diligence visit. This comes ...
This Risk Alert encourages awareness of options trading activity that could be used to avoid complying with the close-out requirements under Reg SHO. Such activities ...
A peer shares this questionnaire that you can use when seeking to development business outside the U.S.
This is a short list of items the SEC requested of an advisory firm that was examined.
Click here to open an Excel spreadsheet, prepared by Renaissance Regulatory Services in Boca Raton, Fla., that lists the items requested by the SEC during ...
Click here to open a Word document that are instructions for how to turn off endorsements on LinkedIn pages. This comes to you from Stephanie ...
This SEC document request letter went to a hedge fund adviser within the Chicago Regional Office of the SEC.