Click here to download a Word file that comes from a peer who shares the firm's form for new hires to complete to assist the ...
Click here to download a Word document that is a peer's policies and procedures for the SEC's pay-to-play rule.
This is the so-called 913 study by the SEC into a uniform fiduciary duty standard for investment advisers and broker-dealers. This was released in January ...
This is the SEC's study on enhancing IA exams. Congress ordered the study in its Dodd-Frank reform law. This was released January 19, 2011.
Click here to open an Excel document that is a marketing review log courtesy of Michelle Kennedy, consultant with Compass Compliance Services in Greenwood, S.C. ...
Click here to open a Word document that is a marketing review form courtesy of Michelle Kennedy, consultant with Compass Compliance Services in Greenwood, S.C. ...
This is a copy of a letter New York City authorities sent to investment advisers in 2011 warning them they may have to register as ...
This is a continuation of the SEC's no-action relief for broker-dealers to rely upon an investment adviser's customer identification program (CIP). This letter is due ...
This is a Word file that contains a script you could use at your firm when portfolio managers and others talk with researchers, consultants or ...
This is the California law, which took effect January 1, 2011, that declares placement agents and some firms as lobbyists in an effort to reduce ...