This is a copy of an SEC document request letter following the announcement of the new “presence” exams. This letter comes out of the Atlanta ...
In 2012, FINRA announced that it was opening up its arbitration process to investment advisers. This was the SRO's form at the time to file ...
This is a letter from the New York Regional Office of the SEC in October 2012. This went to newly registered advisers and mentioned the ...
This is a copy of a letter from OCIE released in October 2012 that went to newly registered advisers. It includes a description of the ...
Click here to open an Excel file that is an example of both a risk matrix and a compliance calendar provided by one of your ...
Click here to open a Word file that is an example of a compliance calendar. A peer shares this example with you. IA Watch produces ...
This is an example of a due diligence questionnaire, courtesy of Michelle Jacko, CEO of Core Compliance & Legal Services in San Diego.
Regulatory concerns related to “Pay‐to‐Play” practices under MSRB rules
This is a list of red flags that could potentially point to senior financial abuse. This comes from the Weinberg Center for Elder Abuse Prevention.
This is an example of a job description for someone in the compliance department who would act as an internal auditor.