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 ...
This is text a peer shares for a letter the firm sends to clients alerting them that they may be contacted by an accountant performing ...
These are sample policies and procedures for handling whistleblowers. These come courtesy of Debra Brown, president of Self Audit, Inc. in Beverly Farms, Mass.
A peer shares the firm's annual privacy notice.
This is a portion of what has been described to IA Watch as an SEC sweep exam letter to some RIAs in 2010 related to ...
This is the model privacy form from the government designed for firms with no affiliate opt outs.
This is the government's model privacy form for firms with an affiliate but no opt out.
This is the government's model privacy notice for firms without an affiliate and no opt out.