Click here to open a Word file that is an example of a client authorization form to be included in firm newsletters and its website. ...
Click here to open a Word file that was shared by Steven Felsenthal, general counsel/CCO at Millburn Ridgefield Corporation in New York. This is an ...
These are the 14 new Form PF FAQs released by the SEC in March 2013.
OCIE's National Exam Program staff observations regarding ways in which advisers fail to comply with the Advisers Act custody rule
This is the SEC's 2013 request for data around the fiduciary duty standard and harmonization of investment adviser and broker-dealer rules.
Click here to open an Excel file that shows you the list of signatories to the broker protocol.
Click here to open a Word file that is a checklist designed to outline an on-site due diligence visit of a counter party, courtesy of ...
Click here to open up a Word document that a peer contributes. It is the firm's policies and procedure for gifts and entertainment under the ...
Mario Hernandez, director of operations at Gemmer Asset Management in Walnut Creek, Calif., shares his firm's gifts and entertainment reporting form.
This is a copy of an SEC document request letter sent to an IA firm.