A peer shares his firm's trade process workflow, along with the caution that firms vary significantly and one process may not fit another firm's.
Click here to open a Word file a peer shares that contains procedures for reviewing and approving marketing pieces.
Click here to open an Excel file that a peer shares. It is a worksheet designed to track key information on trade errors.
Click here to open a Word file that is a risk matrix specifically designed for an adviser to a mutual fund or otherwise operates under ...
Click here to open a Word file, courtesy of Karen Huey of Professional Compliance Assistance in Woodstock, Ga., which is a summary of expectations for ...
This is a no-action letter from the SEC's Division of Trading and Markets released in early 2013 to continue a multi-year relief granted to broker-dealers. ...
This is an SEC sweep exam letter sent to some advisers inquiring about their business continuity plans (BCPs) following Hurricane Sandy in October 2012.
This is an SEC document request letter sent to an advisory firm. This letter hails from the Atlanta Regional Office. This may be a so-called ...
This SEC document request letter went to an adviser in the Atlanta Regional Office. This is from a so-called “presence exam.”
SEC document request letter sent from the Atlanta regional to an IA.